Rafter Associates Financial Management Limited

• Principal Place of Business

  Spring Fields

  9 Spring Hill Farm

  Harborough Road

  Pitsford

  Northampton

  Northamptonshire

  NN6 9AA

  UNITED KINGDOM

  Phone

  +4401604889073

  Web

  https://www.rafterassociates.co.uk

• Complaints Contact

  Spring Fields

  9 Spring Hill Farm

  Harborough Road

  Pitsford

  Northamptonshire

  NN6 9AA

  UNITED KINGDOM

  Phone

  +441604889073

• 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), 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 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.

• 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

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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), 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.

• Alan Edward Thomson

  IRN AET00003

  • CF21 Investment Adviser (9 Oct 2003 to 10 Nov 2003)
• Christopher Gavin Rafter

  IRN CGR00011

  • CF30 Customer (17 Jan 2008 to 31 Jul 2010)
  • Responsible for Insurance Mediation (24 Mar 2005 to 31 Jul 2010)
  • CF27 Investment Management (1 Dec 2001 to 1 Jun 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Aug 2005)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Jul 2005)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Jul 2005)
  • CF1 Director (1 Dec 2001 to 20 Mar 2010)
• Christopher John Rex Howard

  IRN CJH01216

  • CF30 Customer (25 Jun 2010 to 25 Oct 2012)
  • CF21 Investment Adviser (25 Sep 2006 to 16 Apr 2007)
  • CF22 Investment Adviser (Trainee) (27 Jan 2003 to 27 Jan 2003)
• Jacob Walker

  IRN JXW00248

  • CF30 Customer (1 Nov 2007 to 12 Nov 2012)
  • CF1 Director (7 Jan 2002 to 12 Nov 2012)
  • CF27 Investment Management (1 Dec 2001 to 1 Jun 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• James Rhys Pulham

  IRN JRP01207

  • 9A. Advising on P2P agreements
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (3 May 2018 to 8 Dec 2019)
  • CF30 Customer (28 Nov 2014 to 8 Dec 2019)
• John Denis Rafter

  IRN JDR00009

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 1 Jun 2005)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF1 Director (1 Dec 2001 to 1 Aug 2019)
• Johnpaul Sewell

  IRN JXS00323

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Apr 2002)
• Joseph George Swanwick

  IRN JGS01143

  • 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
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (13 Mar 2017 to 8 Dec 2019)
• Neil Jonathan Rafter

  IRN NJR01098

  • 9A. Advising on P2P agreements
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • 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 (14 Mar 2013 to 30 Sep 2018)
  • CF1 Director (12 Mar 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Oct 2005 to 31 Oct 2007)
  • CF10 Compliance Oversight (17 Aug 2005 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (17 Aug 2005 to 8 Dec 2019)
• Stuart Plows

  IRN SXP02117

  • CF30 Customer (14 Aug 2013 to 19 Sep 2014)

No changes recorded yet.