NBL Financial Management Limited

Date authorised
1 April 2013
Companies House
04056667
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Shottenden Manor
    Westwell
    Ashford
    Kent
    TN25 4JR
    UNITED KINGDOM
    Phone
    +4401233664867
    Web
    https://www.nblfm.com

  • Complaints Contact

    Shottenden Manor
    Westwell
    Ashford
    Kent
    TN25 4JR
    UNITED KINGDOM
    Phone
    +4401233664867

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 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

    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.

  • Insurance Admin

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

  • Credit Brokering

  • Stockbroking

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

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • 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.

  • Anthony Philip Luckin

    IRN APL00021

    • CF21 Investment Adviser (14 Jul 2003 to 31 Aug 2007)
    • CF10 Compliance Oversight (14 Jul 2003 to 31 Aug 2007)
    • CF1 Director (14 Jul 2003 to 31 Aug 2007)
  • Christopher Dennis Brinkhurst

    IRN CXB00129

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2021)
    • SMF3 Executive Director (9 Dec 2019 to 28 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Oct 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 28 Oct 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (10 Oct 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (14 Jul 2003 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (14 Jul 2003 to 8 Dec 2019)
    • CF1 Director (14 Jul 2003 to 8 Dec 2019)
  • David Albert Ballard

    IRN DAB00078

    • CF21 Investment Adviser (14 Jul 2003 to 2 Aug 2005)
  • Graham Nicholls

    IRN GXN00026

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2022)
    • SMF1 Chief Executive (9 Dec 2019 to 28 Oct 2020)
    • SMF3 Executive Director (9 Dec 2019 to 28 Oct 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 28 Oct 2020)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (14 Jul 2003 to 31 Oct 2007)
    • CF1 Director (14 Jul 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (14 Jul 2003 to 31 Mar 2009)
    • CF3 Chief Executive (14 Jul 2003 to 8 Dec 2019)
  • Jacqueline Hazel Chisholm

    IRN JHC00019

    • CF30 Customer (1 Nov 2007 to 25 Dec 2007)
    • CF21 Investment Adviser (14 Jul 2003 to 31 Oct 2007)
  • Luke Robert Charles Dancer

    IRN LXD00177

    • 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)
    • [FCA CF] Functions requiring qualifications (since 24 Feb 2023)
    • [FCA CF] Client dealing (since 24 Feb 2023)
  • Michael John Eric Brown

    IRN MJB01668

    • 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
    • CF1 Director (AR) (since 18 May 2023)
    • CF30 Customer (since 5 Apr 2022)
    • Appointed representative dealing with clients for which they require qualification (since 1 Feb 2022)
    • [FCA CF] Client dealing (1 Feb 2022 to 2 Feb 2022)
    • [FCA CF] Functions requiring qualifications (1 Feb 2022 to 2 Feb 2022)
  • Nicholas Charles Bury Gray

    IRN MCG01085

    • CF30 Customer (30 Dec 2023 to 16 Sep 2025)
    • Appointed representative dealing with clients for which they require qualification (19 Dec 2023 to 16 Sep 2025)
  • Noel Jared Greaves

    IRN NJG00051

    • Responsible for Insurance Distribution (since 15 Jun 2021)
    • SMF3 Executive Director (since 15 Jun 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Jun 2021)
    • SMF16 Compliance Oversight (since 15 Jun 2021)
  • Peter David Gordon

    IRN PDG00008

    • 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
    • CF1 Director (AR) (since 2 Dec 2022)
    • CF30 Customer (since 2 Dec 2022)
    • Appointed representative dealing with clients for which they require qualification (since 1 Oct 2021)
    • [FCA CF] Client dealing (1 Oct 2021 to 2 Oct 2021)
    • [FCA CF] Functions requiring qualifications (1 Oct 2021 to 2 Oct 2021)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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