Rosemount Independent Financial Advisers Limited

• Principal Place of Business

  9 Hare Hall Lane

  Gidea Park

  Romford

  Essex

  RM2 6BD

  UNITED KINGDOM

  Phone

  +4401708742777

  Web

  https://www.rosemount-ifa.co.uk

• Complaints Contact

  9 Hare Hall Lane

  Gidea Park

  Romford

  Essex

  RM2 6BD

  UNITED KINGDOM

  Phone

  +4401708742777

• 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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  • · 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

• 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

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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.

• Stockbroking

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

• Debt Advice

• 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.

• Andrew Arthur

  IRN AXA00020

  • 11. Pension transfer specialist
  • 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 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Significant management (9 Dec 2019 to 6 Aug 2021)
  • CF10 Compliance Oversight (1 Jul 2011 to 8 Dec 2019)
  • CF1 Director (1 Jul 2011 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2011 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Jul 2011 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Jul 2011 to 8 Dec 2019)
• Andrew Grassick

  IRN AXG00156

  • 11. Pension transfer specialist
  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Jul 2011 to 8 Dec 2019)
• Angela Jacqueline Lloyd-Read

  IRN AJL01311

  • CF30 Customer (5 Jul 2016 to 27 Jul 2018)
• Gemma Britten

  IRN GXB00172

  • [FCA CF] Manager of certification employee (since 9 Dec 2020)
• Luke Robert Grover

  IRN LRG01026

  • CF30 Customer (10 Jul 2015 to 28 Feb 2017)
• Tony Peter Wonnacott

  IRN TXW01137

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2023)
  • CF30 Customer (1 Mar 2012 to 8 Dec 2019)

No changes recorded yet.