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.

  • Nicholas John Evans

    IRN NJE01051

    • CF1 Director (AR) (27 May 2010 to 5 Jun 2024)
  • Peter Colin Jones

    IRN PCJ01032

    • CF4 Partner (AR) (13 Oct 2009 to 17 Aug 2011)
  • Robert Harvey Williams

    IRN RHW01049

    • CF1 Director (AR) (30 Nov 2012 to 8 Mar 2023)
  • Sam Pascoe Jermy

    IRN SPJ01065

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • CF1 Director (AR) (since 24 Jun 2025)
    • SMF3 Executive Director (since 29 Nov 2021)
    • CF30 Customer (since 26 Oct 2021)
    • Appointed representative dealing with clients for which they require qualification (since 1 Sep 2021)
    • [FCA CF] Client dealing (since 1 Sep 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Sep 2021)
    • CF30 Customer (2 Apr 2012 to 1 Aug 2014)
  • Simon David Bird

    IRN SDB01134

    • CF1 Director (AR) (16 Feb 2012 to 6 May 2015)
  • Stephen Hugh Montgomery

    IRN SHM00014

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Oct 2006 to 31 Oct 2007)
  • Steve Brian Mackie

    IRN SBM01036

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • CF1 Director (AR) (since 3 Jul 2025)
    • Responsible for Insurance Distribution (since 26 May 2021)
    • [FCA CF] Client dealing (since 21 Oct 2020)
    • Appointed representative dealing with clients for which they require qualification (since 21 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 21 Oct 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (since 5 Nov 2010)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 13 Jun 2019)
    • CF1 Director (AR) (11 Jun 2010 to 6 May 2015)
    • CF10 Compliance Oversight (2 Oct 2006 to 8 Dec 2019)
    • CF1 Director (2 Oct 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Oct 2006 to 8 Dec 2019)

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.