Richard Jacobs Pension and Trustee Services Limited

• Principal Place of Business

  Unit 13

  Brindley Court, Dalewood Road

  Lymedale Business Park

  Newcastle Under Lyme

  Staffordshire

  ST5 9QA

  UNITED KINGDOM

  Phone

  +4401782557800

  Web

  https://www.jacobs-pensions.co.uk

• Complaints Contact

  Unit 13

  Brindley Court, Dalewood Road

  Lymedale Business Park

  Newcastle Under Lyme

  Staffordshire

  ST5 9QA

  UNITED KINGDOM

• 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), 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, 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), 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, 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.

• 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, 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.

• Emily Jayne Small

  IRN EJJ01017

  • 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 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (6 Aug 2009 to 8 Dec 2019)
  • CF1 Director (6 Aug 2009 to 8 Dec 2019)
  • Responsible for Insurance Mediation (6 Aug 2009 to 30 Sep 2018)
• Kate Barnard

  IRN KXB01896

  • SMF16 Compliance Oversight (since 25 Feb 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Feb 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
  • CF1 Director (2 Jul 2015 to 8 Dec 2019)
• Richard David Jacobs

  IRN RDJ00004

  • SMF3 Executive Director (9 Dec 2019 to 1 Aug 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Aug 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Aug 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 7 Aug 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (1 Dec 2001 to 20 Nov 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 20 Nov 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 20 Nov 2019)
• Sean Hurst

  IRN SXH00919

  • [FCA CF] Functions requiring qualifications (1 Feb 2023 to 8 Nov 2023)
  • [FCA CF] Client dealing (1 Feb 2023 to 8 Nov 2023)

No changes recorded yet.