Punter Southall SIPP Limited

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Addresses

The contact details this firm has registered with the FCA.

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

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), Personal pension scheme, Rights to or interests in investments (Security)
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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.
Trades With You Directly

For Eligible Counterparty, Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)
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- · The firm is limited to dealing as a principal in investments in the rights under the scheme it operates
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Runs Personal Pensions
Investment Setup

For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Personal pension scheme, Rights to or interests in investments (Security)
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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.

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

Sandra Mary Curtis
IRN SMC01096
- CF2 Non Executive Director (29 Apr 2014 to 8 Dec 2019)
Sarah Violet Hawkins
IRN SXH01980
- SMF1 Chief Executive (since 6 May 2022)
- [FCA CF] Significant management (9 Dec 2019 to 31 May 2022)
Scott Aaron Atkinson
IRN SAA00002
- CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2007)
Scott Shadwell
IRN SXS01923
- CF21 Investment Adviser (11 Apr 2005 to 29 Jul 2005)
- CF22 Investment Adviser (Trainee) (12 Nov 2004 to 11 Apr 2005)
Simon Mark Shelley
IRN SMS00006
- CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
Simon Robert Frost
IRN SRF00002
- CF21 Investment Adviser (1 Dec 2001 to 22 Aug 2003)
Stephen Alan Bush
IRN SAB01199
- CF22 Investment Adviser (Trainee) (9 Feb 2006 to 1 Apr 2007)
Stuart James Geard
IRN SJG01233
- CF2 Non Executive Director (14 Jan 2010 to 28 Sep 2012)
Stuart Malcolm Southall
IRN SMS01129
- CF2 Non Executive Director (2 Sep 2019 to 8 Dec 2019)
Vivien Helen Howells
IRN VHH00001
- CF2 Non Executive Director (23 Apr 2007 to 4 Feb 2008)
- CF24 Pension Transfer Specialist (1 Dec 2001 to 1 Apr 2007)
- CF1 Director (1 Dec 2001 to 1 Apr 2007)
- CF14 Risk Assessment (1 Dec 2001 to 1 Apr 2007)
- CF21 Investment Adviser (1 Dec 2001 to 1 Apr 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.