Schaefer Financial Management Limited

• Principal Place of Business

  Suite 11

  Wellworthys Business Centre

  Parrett Way

  Colley Lane

  Bridgwater

  Somerset

  TA6 5LB

  UNITED KINGDOM

  Phone

  +441278451888

• Complaints Contact

  Suite 11

  Wellworthys Business Centre

  Parrett Way

  Colley Lane

  Bridgwater

  Somerset

  TA6 5LB

  UNITED KINGDOM

  Phone

  +4401278451888

• P2P Lending Advice

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

• Investment Advice (no pensions)

  For Commercial, 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, 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.

• Investment Setup

  For Commercial, 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.

• Carolyn Anne Maud

  IRN CAT00002

  • CF30 Customer (15 Jan 2014 to 30 Sep 2014)
• Deborah Prescott

  IRN DAC01280

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 May 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 May 2023)
  • CF30 Customer (23 Oct 2019 to 8 Dec 2019)
• Elisabeth Carole Sheppard

  IRN ECS00001

  • Director of firm who is not a certification employee or a SMF manager (since 17 Mar 2026)
• Gemma Claire Lott

  IRN GCP01039

  • SMF3 Executive Director (9 Dec 2019 to 31 May 2024)
  • CF1 Director (15 Jan 2014 to 8 Dec 2019)
• Louise Lianne Bridget Wheadon

  IRN LLW01008

  • CF30 Customer (1 Oct 2016 to 14 Dec 2017)
• Michelle Leah Epstein

  IRN MXE00315

  • [FCA CF] Functions requiring qualifications (2 May 2024 to 30 Apr 2025)
  • [FCA CF] Client dealing (1 May 2024 to 30 Apr 2025)
• Paul Edward Cuff

  IRN PEC01039

  • CF30 Customer (27 Sep 2019 to 8 Dec 2019)
• Philip Arthur Sheppard

  IRN PAS00011

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (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)
  • Responsible for Insurance Mediation (15 Jan 2014 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (15 Jan 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Jan 2014 to 8 Dec 2019)
  • CF1 Director (15 Jan 2014 to 8 Dec 2019)
  • CF30 Customer (15 Jan 2014 to 8 Dec 2019)

No changes recorded yet.