Mottram Financial Services Limited

• Principal Place of Business

  Station House

  49A George Lane

  Bredbury

  STOCKPORT

  SK6 1AT

  UNITED KINGDOM

  Phone

  +441617103050

  Web

  https://www.mottram-fs.co.uk

• Complaints Contact

  Station House

  49A George Lane

  Bredbury

  STOCKPORT

  SK6 1AT

  UNITED KINGDOM

  Phone

  +441617103050

• P2P Lending Advice

  For Professional, Retail (Investment)

• Pension Transfer Advice

  For Professional, 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

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  • · 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, Eligible Counterparty, 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

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  • · 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

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

• Arranges Investments

  For Commercial, Eligible Counterparty, 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 Hide limitations

  • · 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, Eligible Counterparty, 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 Hide limitations

  • · 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.

• Aidan James Bennett

  IRN AXB00473

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 19 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 19 Feb 2021)
• Dane Karl Hunt

  IRN DXH00805

  • 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
  • [FCA CF] Functions requiring qualifications (since 1 May 2024)
  • [FCA CF] Client dealing (since 1 May 2024)
• Ian William Elliott Kells

  IRN IWK00004

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2024)
  • CF30 Customer (1 Dec 2018 to 8 Dec 2019)
• Lindsey Louise Thornes

  IRN LXT14614

  • 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
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (15 May 2019 to 8 Dec 2019)
• Nicola Rogan

  IRN NXR01262

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 Apr 2018 to 8 Dec 2019)
  • CF1 Director (3 Apr 2018 to 8 Dec 2019)
• Peter David Rogan

  IRN PXR01517

  • 11. Pension transfer specialist
  • 9A. Advising on P2P agreements
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (3 Apr 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Apr 2018 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 Apr 2018 to 30 Sep 2018)
  • CF10 Compliance Oversight (3 Apr 2018 to 8 Dec 2019)
  • CF1 Director (3 Apr 2018 to 8 Dec 2019)
• Peter Scott Lawson

  IRN PSL00001

  • CF30 Customer (3 Apr 2018 to 8 Dec 2019)

No changes recorded yet.