PNM FINANCIAL MANAGEMENT LIMITED

• Principal Place of Business

  9 Cable Court, Pittman Way

  Fulwood

  Preston

  Lancashire

  PR2 9YW

  UNITED KINGDOM

  Phone

  +441772655050

  Web

  https://www.pnmuk.co.uk

• Complaints Contact

  9 Cable Court, Pittman Way

  Fulwood

  Preston

  Lancashire

  PR2 9YW

  UNITED KINGDOM

  Phone

  +441772655050

• 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: 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, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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.

• 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), 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Investment Setup

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

• Alistair John Towers

  IRN AJT01279

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Jun 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Jun 2021)
• Benjamin Paul Morris

  IRN BPM01058

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF3 Executive Director (since 1 Dec 2024)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (17 Nov 2017 to 8 Dec 2019)
• Paul Nicholas Morris

  IRN PNM00001

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • CF1 Director (AR) (since 6 Aug 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10 Compliance Oversight (3 May 2016 to 8 Dec 2019)
  • CF1 Director (3 May 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 May 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 May 2016 to 30 Sep 2018)
  • CF30 Customer (3 May 2016 to 8 Dec 2019)
• Stuart William Whitehead

  IRN SWW00007

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Jun 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Jun 2021)
  • CF30 Customer (5 Apr 2017 to 8 Dec 2019)

• Rushtons Financial Management Ltd

  FRN 194259 · Appointed 10 May 2016

No changes recorded yet.