MURRAY SMITH FINANCIAL SERVICES LIMITED

Date authorised
1 April 2013
Companies House
02321024
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Darland House
    44 Winnington Hill
    Northwich
    Cheshire
    CW8 1AU
    UNITED KINGDOM
    Phone
    +440160679411
    Web
    https://www.murraysmith.com

  • Complaints Contact

    Darland House
    44 Winnington Hill
    Northwich
    Cheshire
    CW8 1AU
    UNITED KINGDOM
    Phone
    +440160679411

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, Funeral plan contract, 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, Funeral plan contract, 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.

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts, Structured Deposits

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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.

  • Basic Pension Advice

    For Retail (Investment), Stakeholder products

Approved individuals

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

  • Colin Raymond Johnson

    IRN CRJ01031

    • CF11 Money Laundering Reporting (1 Apr 2008 to 6 Oct 2009)
    • CF1 Director (3 Jul 2006 to 6 Oct 2009)
  • Michael Gerrard Benson

    IRN MGB01076

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (3 Jun 2015 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (27 Apr 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Apr 2015 to 8 Dec 2019)
    • CF1 Director (3 Jul 2006 to 8 Dec 2019)
  • Michael James Morgan Jones

    IRN MJJ01062

    • CF1 Director (3 Jul 2006 to 17 Jan 2017)
  • Peter Roger Daniel

    IRN PRD01072

    • CF1 Director (3 Jul 2006 to 5 Feb 2016)
    • CF10 Compliance Oversight (3 Jul 2006 to 11 May 2015)
    • CF11 Money Laundering Reporting (3 Jul 2006 to 11 May 2015)
    • CF8 Apportionment and Oversight (3 Jul 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (3 Jul 2006 to 3 Jun 2015)
  • Richard John Taylor

    IRN RJT01099

    • CF30 Customer (1 Nov 2007 to 28 Dec 2007)
    • CF1 Director (3 Jul 2006 to 31 Mar 2008)
    • CF11 Money Laundering Reporting (3 Jul 2006 to 31 Mar 2008)
    • CF21 Investment Adviser (3 Jul 2006 to 31 Oct 2007)
  • Simon Alastair Barnes

    IRN SAB01250

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (3 Sep 2012 to 8 Dec 2019)
  • Stephen Bracegirdle

    IRN SXB00285

    • [FCA CF] Functions requiring qualifications (29 Nov 2021 to 14 Feb 2022)
    • [FCA CF] Client dealing (29 Nov 2021 to 14 Feb 2022)
  • Steven Alan Williams

    IRN SAW01242

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (21 Aug 2009 to 8 Dec 2019)
  • Stuart Charles Tabeart

    IRN SCT01042

    • CF30 Customer (1 Nov 2007 to 20 Jun 2008)
    • CF21 Investment Adviser (3 Jul 2006 to 31 Oct 2007)
  • Susan Alexandra Daniel

    IRN SAD01094

    • CF30 Customer (1 Feb 2009 to 30 Sep 2018)
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Recent activity

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

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