North Laine Financial Management Limited

Date authorised
1 April 2013
Companies House
05072423
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Unit 1
    Pondtail Farm
    Coolham Road
    West Grinstead
    Horsham
    West Sussex
    RH13 8LN
    UNITED KINGDOM
    Phone
    +4401273525490
    Web
    https://www.nlfm.co.uk

  • Complaints Contact

    Unit 1
    Pondtail Farm
    Coolham Road
    West Grinstead
    Horsham
    West Sussex
    RH13 8LN
    UNITED KINGDOM
    Phone
    +4401273525490

What this firm is allowed to do

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

  • 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 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 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 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

Approved individuals

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

  • . ACT Legal Ltd

    IRN XXA01134

    • CF1 Director (AR) (13 Oct 2009 to 17 Aug 2011)
  • . MDJ Services Ltd

    IRN XXM01104

    • CF4 Partner (AR) (14 Oct 2009 to 14 Oct 2009)
  • . North Laine Financial Management Ltd

    IRN XXN01026

    • CF1 Director (AR) (14 Oct 2009 to 17 Aug 2011)
    • CF4 Partner (AR) (12 Oct 2009 to 17 Aug 2011)
  • Alan Joseph Larkin

    IRN AJL01278

    • CF1 Director (AR) (11 Dec 2012 to 8 Mar 2023)
  • David Glyn Bishop

    IRN DGB01114

    • CF1 Director (AR) (28 Dec 2012 to 24 Nov 2020)
  • Dmitry Justin Morgan

    IRN DJM00019

    • CF30 Customer (24 Sep 2010 to 12 Oct 2011)
  • Ian Raymond Lee

    IRN IRL01009

    • CF1 Director (AR) (10 Feb 2012 to 6 May 2015)
  • JENIFER Helen Beard

    IRN JHB01137

    • CF1 Director (AR) (20 May 2010 to 31 Mar 2023)
  • Linda Sutherland Lamb

    IRN LSL01010

    • CF1 Director (AR) (30 Nov 2012 to 4 Jun 2019)
  • Nicholas Conrad Gorton

    IRN NCG00006

    • Appointed representative dealing with clients for which they require qualification (21 Oct 2020 to 30 Apr 2021)
    • [FCA CF] Client dealing (21 Oct 2020 to 30 Apr 2021)
    • [FCA CF] Functions requiring qualifications (21 Oct 2020 to 30 Apr 2021)
    • SMF3 Executive Director (9 Dec 2019 to 30 Apr 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 30 Apr 2021)
    • CF1 Director (AR) (17 May 2010 to 6 May 2015)
    • CF30 Customer (1 Nov 2007 to 30 Apr 2021)
    • Responsible for Insurance Mediation (2 Oct 2006 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (2 Oct 2006 to 31 Mar 2009)
    • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
    • CF1 Director (2 Oct 2006 to 8 Dec 2019)
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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.

No changes recorded yet.