Scott and Casey Financial Management Limited

• Principal Place of Business

  1st Floor Business Centre

  Circle Line House

  8 East Road

  Harlow

  Essex

  CM20 2BJ

  UNITED KINGDOM

  Phone

  +441279836392

• Complaints Contact

  1st Floor Business Centre

  Circle Line House

  8 East Road

  Harlow

  Essex

  CM20 2BJ

  UNITED KINGDOM

  Phone

  +441279836392

• 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 Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Warrant

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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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Equity Release Setup

  For Customer, Home reversion plans

• 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 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.

• David Robert Cox

  IRN DRC00043

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (11 Nov 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (11 Nov 2002 to 31 Oct 2007)
  • CF1 Director (11 Nov 2002 to 8 Dec 2019)
• Duncan Andrew Burns

  IRN DAB00071

  • SMF3 Executive Director (9 Dec 2019 to 28 Apr 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Jan 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 23 Jan 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (11 Nov 2002 to 8 Dec 2019)
  • CF21 Investment Adviser (11 Nov 2002 to 31 Oct 2007)
• Fergus Cameron MacKenzie

  IRN FCM00004

  • CF30 Customer (1 Nov 2007 to 18 Oct 2010)
  • CF21 Investment Adviser (1 Feb 2007 to 31 Oct 2007)
• Garvin Christopher Ainsworth Besson

  IRN GCB00010

  • CF21 Investment Adviser (14 Nov 2002 to 22 Apr 2003)
• Graham Paul Martin

  IRN GPM00019

  • CF30 Customer (1 Nov 2007 to 12 Jun 2009)
  • CF21 Investment Adviser (13 Nov 2002 to 31 Oct 2007)
• Harvey Stephen Gelman

  IRN HSG00004

  • CF1 Director (11 Nov 2002 to 13 Jul 2005)
  • CF11 Money Laundering Reporting (11 Nov 2002 to 28 May 2004)
  • CF21 Investment Adviser (11 Nov 2002 to 19 Jun 2007)
  • CF8 Apportionment and Oversight (11 Nov 2002 to 13 Jul 2005)
• Hiromi Tazaki

  IRN HXT01085

  • CF1 Director (AR) (9 Jan 2003 to 25 Nov 2003)
• Hitesh Shantilal Dholakia

  IRN HXD00009

  • CF21 Investment Adviser (30 Apr 2003 to 29 Apr 2005)
• Howard Neil Mayes

  IRN HNM00001

  • CF30 Customer (1 Nov 2007 to 9 Jul 2009)
  • CF21 Investment Adviser (31 Jan 2007 to 31 Oct 2007)
• James Francis Browning

  IRN JFB01058

  • CF21 Investment Adviser (8 Jul 2003 to 20 Oct 2003)

• David Peter Ginn (no longer appointed)

  FRN 504077 · Appointed 4 Jan 2010 · Until 30 Nov 2015

• Your IFA Ltd (no longer appointed)

  FRN 502392 · Appointed 16 Jun 2009 · Until 1 Apr 2015

• Seventy Twenty Ltd (no longer appointed)

  FRN 490782 · Appointed 28 Oct 2008 · Until 30 Jul 2010

• JAC Financial Design Ltd (no longer appointed)

  FRN 219086 · Appointed 31 Oct 2004 · Until 31 Oct 2004

• JAC Financial Design Ltd (no longer appointed)

  FRN 219086 · Appointed 12 Nov 2002 · Until 22 Jun 2004

No changes recorded yet.