RAVENSTONE FINANCIAL MANAGEMENT LTD.

• Principal Place of Business

  Ravenstone Financial Management Ltd

  Menteith House

  29 Park Circus

  Glasgow

  Glasgow City

  G3 6AP

  UNITED KINGDOM

  Phone

  +441413547940

  Web

  https://www.ravenstoneifa.co.uk

• Complaints Contact

  Ravenstone Financial Management Ltd

  Menteith House

  29 Park Circus

  Glasgow

  Glasgow City

  G3 6AP

  UNITED KINGDOM

  Phone

  +4407711371976

• 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), Spread Bet, 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), 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, Spread Bet, 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

  For Professional, Retail (Investment)

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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, Spread Bet, 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 Arranging

  For Customer, Regulated mortgage contract

• Stockbroking

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

• 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, Spread Bet, 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.

• Duncan Walker Paterson

  IRN DWP00023

  • CF21 Investment Adviser (9 May 2002 to 15 Dec 2004)
• Edward William Pidcock

  IRN EWP00004

  • CF30 Customer (1 Nov 2007 to 29 Nov 2007)
  • CF21 Investment Adviser (9 May 2002 to 31 Oct 2007)
• Eric Kaye

  IRN EXK00002

  • CF24 Pension Transfer Specialist (12 Oct 2002 to 15 Dec 2004)
  • CF21 Investment Adviser (9 May 2002 to 15 Dec 2004)
• Gordon Taylor Black

  IRN GTB00006

  • 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)
  • [FCA CF] Functions requiring qualifications (since 29 Oct 2020)
  • [FCA CF] Client dealing (since 29 Oct 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 30 Sep 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (AR) (31 Oct 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (9 May 2002 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (9 May 2002 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 May 2002 to 8 Dec 2019)
  • CF1 Director (9 May 2002 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (9 May 2002 to 31 Mar 2009)
• Graeme Joseph John Samual Parrack

  IRN GXP01187

  • CF21 Investment Adviser (9 May 2002 to 5 Aug 2003)
• Graeme William Leckie

  IRN GWL00003

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 26 Jun 2024)
  • [FCA CF] Client dealing (since 26 Jun 2024)
• Jason William Speed

  IRN JWS00007

  • CF21 Investment Adviser (9 May 2002 to 28 Apr 2003)
• Jeremy Scott Brown

  IRN JSB00014

  • 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)
  • [FCA CF] Client dealing (since 29 Oct 2020)
  • [FCA CF] Functions requiring qualifications (since 29 Oct 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (AR) (31 Oct 2004 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (17 May 2004 to 31 Oct 2007)
  • CF1 Director (9 May 2002 to 8 Dec 2019)
  • CF21 Investment Adviser (9 May 2002 to 31 Oct 2007)
• John McNee Yuille

  IRN JMY00001

  • CF1 Director (9 May 2002 to 6 Nov 2003)
  • CF21 Investment Adviser (9 May 2002 to 6 Nov 2003)
• Jonathan Andrew Tait

  IRN JAT01101

  • CF30 Customer (1 Nov 2007 to 29 Nov 2007)
  • CF21 Investment Adviser (9 Dec 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (13 May 2003 to 9 Dec 2005)

• Ravenstone Mortgages Limited (no longer appointed)

  FRN 409154 · Appointed 31 Oct 2004 · Until 24 Apr 2007

No changes recorded yet.