SGM Financial Management Ltd

• Principal Place of Business

  8 Hale Close

  Lincoln

  LN2 4TZ

  UNITED KINGDOM

  Phone

  +4401522844142

  Web

  https://www.sgmfinancialmanagement.co.uk

• Complaints Contact

  8 Hale Close

  Lincoln

  LN2 4TZ

  UNITED KINGDOM

  Phone

  +4401522844142

• 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.

• 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.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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

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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.

• Lisa Frances Shepherd

  IRN LFS01023

  • 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
  • Responsible for Insurance Distribution (since 12 Jul 2021)
  • SMF3 Executive Director (since 12 Jul 2021)
  • [FCA CF] Client dealing (since 12 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 12 Jul 2021)
• Samuel George Gibson

  IRN SGG00010

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Manager of certification employee (since 12 Jul 2021)
  • SMF3 Executive Director (since 12 Jul 2021)
  • [FCA CF] Client dealing (since 12 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 12 Jul 2021)
• Thomas Kenneth Munday

  IRN TXM06835

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF16 Compliance Oversight (since 12 Jul 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Jul 2021)
  • SMF3 Executive Director (since 12 Jul 2021)
  • [FCA CF] Client dealing (since 12 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 12 Jul 2021)
  • [FCA CF] Manager of certification employee (since 12 Jul 2021)

No changes recorded yet.