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.

• Roger Edwin Standage

  IRN RES00023

  • CF21 Investment Adviser (2 Jan 2003 to 13 Sep 2004)
• Stefan Rogach

  IRN SXR00086

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (3 May 2018 to 8 Dec 2019)
• Stefano Pavarani

  IRN SXP00134

  • CF21 Investment Adviser (21 Nov 2002 to 25 Nov 2003)
• Stephen John Blundell

  IRN SJB01376

  • CF1 Director (AR) (26 Nov 2002 to 25 Nov 2003)
• Stephen Kipping

  IRN SXK00007

  • CF21 Investment Adviser (8 Apr 2003 to 3 Jul 2006)
• Stephen Paul Coleman

  IRN SXC00144

  • CF30 Customer (1 Nov 2007 to 20 Dec 2008)
  • CF21 Investment Adviser (12 Nov 2002 to 31 Oct 2007)
• Terence Edward Chamberlain

  IRN TEC00002

  • CF21 Investment Adviser (11 Nov 2002 to 22 Apr 2003)
  • CF1 Director (11 Nov 2002 to 22 Apr 2003)
• Terence Paul Devine

  IRN TXD00030

  • CF21 Investment Adviser (15 Nov 2002 to 30 Apr 2004)
• Thomas Frederick Kilgallon

  IRN TFK00001

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (18 Jul 2005 to 31 Mar 2009)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (9 Jun 2004 to 8 Dec 2019)
  • CF1 Director (11 Nov 2002 to 8 Dec 2019)
  • CF21 Investment Adviser (11 Nov 2002 to 31 Oct 2007)
  • CF10 Compliance Oversight (11 Nov 2002 to 8 Dec 2019)
• Yiannis Michael Kokotsis

  IRN YMK00002

  • CF30 Customer (4 Jan 2010 to 1 Apr 2015)
  • CF1 Director (AR) (4 Jan 2010 to 1 Apr 2015)

• 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.