RINGROSE GRIMSLEY LIMITED

Date authorised
1 April 2013
Companies House
04639327
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Ringrose Grimsley Ltd
    The McQueen Building
    The Frankland Commerce Park
    Harrier Way
    Peterborough
    Cambridgeshire
    PE7 3NN
    UNITED KINGDOM
    Phone
    +441733232249
    Web
    https://www.rgl-ifa.co.uk

  • Complaints Contact

    Ringrose Grimsley Ltd
    Mcqueen Building
    1 The Frankland Commerce Park
    Harrier Way
    Peterborough
    Cambridgeshire
    PE7 3NN
    UNITED KINGDOM
    Phone
    +441733232249

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • P2P Lending Advice

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

  • 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

    Show 2 limitations
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • 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, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Adrian Hallas

    IRN AXH03112

    • CF30 Customer (23 Nov 2017 to 1 Mar 2018)
  • Alan Douglas Bradshaw

    IRN ADB01194

    • CF30 Customer (1 Jan 2011 to 24 Dec 2012)
  • Alan Patey

    IRN AXP00108

    • CF21 Investment Adviser (1 Dec 2003 to 24 Mar 2006)
  • Alison Jayne Barron

    IRN AJM00029

    • CF21 Investment Adviser (10 May 2004 to 10 May 2006)
  • Brian Michael Slark

    IRN BMS00010

    • CF21 Investment Adviser (1 Dec 2003 to 5 May 2004)
  • David James Frankland

    IRN DJF00009

    • 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 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (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 3 Oct 2016)
    • CF30 Customer (1 Feb 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (1 Dec 2003 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2003 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2003 to 8 Dec 2019)
    • CF1 Director (1 Dec 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2003 to 31 Mar 2009)
  • Glen Alan Newell

    IRN GAN00008

    • CF21 Investment Adviser (2 Nov 2004 to 30 Jun 2006)
  • John Jeremy Herlihy

    IRN JJH00010

    • CF30 Customer (6 Jun 2011 to 24 Dec 2013)
    • CF21 Investment Adviser (24 Nov 2004 to 24 Mar 2006)
  • Kevin George Mann

    IRN KGM01034

    • CF30 Customer (1 Nov 2007 to 25 Dec 2012)
    • CF22 Investment Adviser (Trainee) (16 Apr 2007 to 31 Oct 2007)
  • Neil Stuart Alsop

    IRN NSA00004

    • CF22 Investment Adviser (Trainee) (14 Feb 2005 to 2 Mar 2005)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • Rachel Spencer (no longer appointed)

    FRN 442322 · Appointed 19 Jan 2017 · Until 20 Dec 2024

  • Kevin George Mann (no longer appointed)

    FRN 504614 · Appointed 6 Aug 2009 · Until 25 Dec 2012

  • Rachel Spencer (no longer appointed)

    FRN 442322 · Appointed 7 Jan 2008 · Until 23 Dec 2009

Recent activity

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

No changes recorded yet.