Nott Pybus & Associates Limited

Date authorised
1 April 2013
Companies House
03920586
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    122 Whinbush Road
    Hitchin
    Hertfordshire
    SG5 1PN
    UNITED KINGDOM
    Phone
    +4401462222002
    Web
    https://jlmwealth.com

  • Complaints Contact

    122 Whinbush Road
    Hitchin
    Hertfordshire
    SG5 1PN
    UNITED KINGDOM
    Phone
    +4401462222002

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 pension policies with a Guaranteed Annuity Rate.
    • · 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, 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.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • 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, 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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • 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

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • 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, 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.

  • Andrew EDGAR

    IRN AJE01142

    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 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)
    • 11. Pension transfer specialist
    • CF1 Director (AR) (since 3 Apr 2023)
    • Appointed representative dealing with clients for which they require qualification (since 3 Mar 2023)
    • [FCA CF] Functions requiring qualifications (since 2 Mar 2023)
    • CF30 Customer (since 1 Mar 2023)
    • CF30 Customer (2 Jan 2013 to 8 Dec 2019)
  • Christine Margaret Mulkerrins

    IRN CMM00015

    • CF21 Investment Adviser (1 Dec 2001 to 23 Sep 2006)
  • Clifford Nott

    IRN CAN00014

    • CF1 Director (AR) (7 Dec 2005 to 27 Apr 2009)
    • Responsible for Insurance Mediation (14 Jan 2005 to 5 Sep 2013)
    • CF1 Director (1 Dec 2001 to 4 Jul 2014)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • Esther-Maria Penny Walker

    IRN EPW01017

    • CF30 Customer (10 Sep 2024 to 5 Aug 2025)
    • [FCA CF] Client dealing (13 Aug 2024 to 25 Apr 2025)
    • Appointed representative dealing with clients for which they require qualification (13 Aug 2024 to 25 Apr 2025)
    • [FCA CF] Functions requiring qualifications (12 Aug 2024 to 25 Apr 2025)
  • Glen Lloyd Baker

    IRN GLB01086

    • 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)
    • 11. Pension transfer specialist
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • CF30 Customer (since 22 Jun 2024)
    • Appointed representative dealing with clients for which they require qualification (since 30 May 2024)
  • Mark Andrew Robert Slough

    IRN MXS00510

    • 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
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 17. Administrative functions in relation to managing investments
    • 11. Pension transfer specialist
    • CF30 Customer (since 9 Sep 2024)
    • Appointed representative dealing with clients for which they require qualification (since 19 Aug 2024)
    • [FCA CF] Functions requiring qualifications (since 20 Mar 2024)
  • Michael James Tipper

    IRN MJT00060

    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 10. Broker fund adviser
    • [PRA CF] Key function holder (since 1 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Significant management (since 1 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (17 Sep 2013 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 25 Jan 2013)
    • CF1 Director (AR) (7 Dec 2005 to 27 Apr 2009)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 12 Jan 2006)
  • Robert Alan Pybus

    IRN RAP00072

    • CF1 Director (AR) (15 Dec 2005 to 4 Jul 2014)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 12 Jan 2006)
    • CF1 Director (1 Dec 2001 to 4 Jul 2014)
  • Rory Rajan Joseph

    IRN RRJ01011

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 17. Administrative functions in relation to managing investments
    • 11. Pension transfer specialist
    • SMF3 Executive Director (since 3 Dec 2024)
    • Responsibility for MCD Intermediation (since 3 Dec 2024)
    • Responsible for Insurance Distribution (since 3 Dec 2024)
    • CF30 Customer (since 31 Jul 2023)
    • Appointed representative dealing with clients for which they require qualification (since 19 Jun 2023)
    • CF1 Director (AR) (since 31 Mar 2023)
    • [PRA CF] Key function holder (since 20 Jan 2023)
    • [FCA CF] Client dealing (since 20 Jan 2023)
    • [FCA CF] Functions requiring qualifications (since 20 Jan 2023)
    • [FCA CF] Benchmark submission and administration (since 20 Jan 2023)
    • [FCA CF] CASS oversight function (since 20 Jan 2023)
    • [FCA CF] Significant management (since 20 Jan 2023)
  • Susan Ann Watkins

    IRN SAW01140

    • CF30 Customer (1 Nov 2007 to 11 Mar 2008)
    • CF21 Investment Adviser (3 Jul 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (7 Nov 2005 to 26 Jul 2006)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

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