MEDICAL & FINANCIAL LIMITED

Date authorised
1 April 2013
Companies House
05684938
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    16 Silver Lane
    Needingworth
    St Ives
    Cambs
    PE27 4SL
    UNITED KINGDOM
    Phone
    +4401480463551
    Web
    https://www.medicalandfinancial.com

  • Complaints Contact

    16 Silver Lane
    Needingworth
    St Ives
    Cambs
    PE27 4SL
    UNITED KINGDOM
    Phone
    +4401480463551

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

    Show 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David Heaton

    IRN DAH00038

    • CF30 Customer (9 Oct 2017 to 16 Apr 2019)
  • Justine Ellen Roberts

    IRN JEP00027

    • [FCA CF] Functions requiring qualifications (15 Jun 2021 to 1 Apr 2026)
    • [FCA CF] Client dealing (15 Jun 2021 to 1 Apr 2026)
    • SMF3 Executive Director (9 Dec 2019 to 1 Oct 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Oct 2024)
    • CF1 Director (AR) (8 Nov 2012 to 5 Oct 2021)
    • CF30 Customer (1 Nov 2007 to 5 Oct 2021)
    • CF21 Investment Adviser (1 Oct 2007 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Oct 2007 to 8 Dec 2019)
    • CF1 Director (1 Oct 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Oct 2007 to 31 Mar 2009)
  • Simon Brian Dickerson

    IRN SBD00009

    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Sep 2024)
    • [FCA CF] Client dealing (since 15 Jun 2021)
    • [FCA CF] Functions requiring qualifications (since 15 Jun 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (12 Nov 2012 to 5 Oct 2021)
    • CF30 Customer (1 Nov 2007 to 5 Oct 2021)
    • Responsible for Insurance Mediation (1 Oct 2007 to 30 Sep 2018)
    • CF21 Investment Adviser (1 Oct 2007 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Oct 2007 to 8 Dec 2019)
    • CF1 Director (1 Oct 2007 to 8 Dec 2019)
  • Timothy John Pullin Forster

    IRN TJF00010

    • [FCA CF] Client dealing (15 Jun 2021 to 31 Mar 2025)
    • [FCA CF] Functions requiring qualifications (15 Jun 2021 to 31 Mar 2025)
    • CF30 Customer (10 Dec 2009 to 8 Dec 2019)
  • Tony Green

    IRN TXG00038

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • CF1 Director (AR) (since 22 Jul 2025)
    • [FCA CF] Client dealing (since 6 Apr 2020)
    • [FCA CF] Functions requiring qualifications (since 6 Apr 2020)
    • Appointed representative dealing with clients for which they require qualification (since 6 Apr 2020)
    • CF30 Customer (since 6 Apr 2020)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.