NTM FINANCIAL SERVICES LIMITED

• Principal Place of Business

  Unit 12

  Cwrt Y Parc

  Earlswood Road

  Llanishen

  Cardiff

  Caerdydd

  CF14 5GH

  UNITED KINGDOM

  Phone

  +4402920766400

  Web

  https://www.ntmfs.co.uk

• Complaints Contact

  Unit 12

  Cwrt Y Parc

  Earlswood Road

  Llanishen

  Cardiff

  Caerdydd

  CF14 5GH

  UNITED KINGDOM

  Phone

  +4402920766400

• Buy-to-Let Mortgage Advice

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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

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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.

• 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

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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, Structured Deposits, 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• 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, Structured Deposits, 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.

• Christopher Woods

  IRN CXW01459

  • [FCA CF] Functions requiring qualifications (28 Jan 2020 to 4 Oct 2020)
  • [FCA CF] Client dealing (28 Jan 2020 to 4 Oct 2020)
• Michael Richard Moreton

  IRN MRM01146

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Feb 2023)
  • CF30 Customer (4 Jul 2016 to 8 Dec 2019)
• Neil Edward Mills

  IRN NEM01041

  • CF30 Customer (2 Jan 2013 to 8 Dec 2019)
• Neil Rhys Williams

  IRN NXW00214

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 1 May 2025)
  • [FCA CF] Client dealing (since 1 May 2025)
  • [FCA CF] Functions requiring qualifications (14 Jul 2022 to 1 Feb 2024)
  • [FCA CF] Client dealing (14 Jul 2022 to 1 Feb 2024)
• Neil Thomas Muir

  IRN NTM00004

  • 11. Pension transfer specialist
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 20 May 2016)
  • CF11 Money Laundering Reporting (2 Jan 2013 to 8 Dec 2019)
  • CF1 Director (2 Jan 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (2 Jan 2013 to 30 Sep 2018)
  • CF30 Customer (2 Jan 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Jan 2013 to 8 Dec 2019)
• Nicholas Hill

  IRN NXH00310

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 12 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 12 Jul 2022)
• Thomas David Palmer

  IRN TDP01038

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (2 Aug 2017 to 8 Dec 2019)

No changes recorded yet.