Pembroke Finance Limited

Date authorised
1 April 2013
Companies House
04236167
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Ashley Park House
    42-50 Hersham Road
    Walton-On-Thames
    KT12 1RZ
    UNITED KINGDOM
    Phone
    +4401932820772
    Web
    https://www.pembroke.uk.net

  • Complaints Contact

    Ashley Park House
    42-50 Hersham Road
    Walton-On-Thames
    KT12 1RZ
    UNITED KINGDOM
    Phone
    +4401932820772

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • 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 Commercial, 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), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  • 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, 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), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, 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), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  • Credit Score Services

    Show 1 limitation
    • · This permission is limited to not carrying out credit repair services

Approved individuals

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

  • Antonio Jaume

    IRN AXJ00049

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • CF1 Director (AR) (since 14 Jul 2020)
    • CF30 Customer (since 14 Jul 2020)
    • SMF1 Chief Executive (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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
    • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jun 2005 to 8 Dec 2019)
    • CF13 Finance (1 Jun 2005 to 1 Jun 2005)
    • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Jun 2005 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF3 Chief Executive (31 Oct 2004 to 8 Dec 2019)
    • CF1 Director (31 Oct 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
  • CATHERINE ELIZABETH MORGAN

    IRN CXM01076

    • [FCA CF] Client dealing (1 Jul 2024 to 31 Dec 2024)
    • [FCA CF] Functions requiring qualifications (1 Jul 2024 to 31 Dec 2024)
  • Diego Israel Alonso

    IRN DIA01010

    • CF30 Customer (1 Nov 2007 to 22 Dec 2011)
    • CF22 Investment Adviser (Trainee) (5 May 2006 to 31 Oct 2007)
  • John David Roberts

    IRN JDR00029

    • CF30 Customer (1 Nov 2007 to 20 Nov 2014)
    • CF21 Investment Adviser (2 Jun 2005 to 31 Oct 2007)
  • Kenneth James Kennison

    IRN KJK01028

    • CF30 Customer (11 Jun 2021 to 31 Jan 2023)
  • Paul Alexander Shorten

    IRN PXS09541

    • CF30 Customer (15 Oct 2020 to 24 Mar 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Jan 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 17 Jan 2024)
  • Simon Peter Clarke

    IRN SPC01144

    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 9A. Advising on P2P agreements
    • 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
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (9 Sep 2010 to 8 Dec 2019)
  • Stephen Richard James Briggs

    IRN SRB01135

    • CF28 Systems and controls (1 Nov 2007 to 1 Nov 2007)
    • CF13 Finance (9 Sep 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 1 Aug 2005)
    • CF3 Chief Executive (31 Oct 2004 to 14 Feb 2006)
    • CF1 Director (31 Oct 2004 to 14 Feb 2006)

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.