Nott Pybus & Associates Limited

• 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

• 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

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  • · 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

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  • · 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

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  • · 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 Hide 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.

• 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 Hide 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.

• 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)

• NPA Commercial Ltd (no longer appointed)

  FRN 400549 · Appointed 31 Oct 2004 · Until 11 May 2009

No changes recorded yet.