Norman Gray

Date authorised
8 December 2020
Last scraped
1 day ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    9 Dee Place
    Ferryhill
    Aberdeen
    AB11 6EF
    UNITED KINGDOM
    Phone
    +441224581827

  • Complaints Contact

    9 Dee Place
    Ferryhill
    Aberdeen
    AB11 6EF
    UNITED KINGDOM
    Phone
    +441224581827

What this firm is allowed to do

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

  • 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

    Show 2 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.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

  • 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.

  • Alastair Valentine

    IRN AXV00001

    • (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (3)[FCA CF] Client dealing (since 10 Dec 2020)
    • (4)[FCA CF] Functions requiring qualifications (since 10 Dec 2020)
  • Norman Lewis Gray

    IRN NLG00003

    • (5)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (6)4. Giving personal recommendations on retail investment products which are not broker funds
    • (10)[FCA CF] Functions requiring qualifications (since 8 Dec 2020)
    • (8)SMF16 Compliance Oversight (since 8 Dec 2020)
    • (7)SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Dec 2020)
    • (9)[FCA CF] Client dealing (since 8 Aug 2020)

Recent activity

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

  1. controlled function added: (10)[FCA CF] Functions requiring qualifications

  2. controlled function added: (9)[FCA CF] Client dealing

  3. controlled function added: (8)SMF16 Compliance Oversight

  4. controlled function added: (7)SMF17 Money Laundering Reporting Officer (MLRO)

  5. controlled function added: (6)4. Giving personal recommendations on retail investment products which are not broker funds

  6. controlled function added: (5)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. controlled function added: (4)[FCA CF] Functions requiring qualifications

  8. controlled function added: (3)[FCA CF] Client dealing

  9. controlled function added: (2)4. Giving personal recommendations on retail investment products which are not broker funds

  10. controlled function added: (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

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