SIMPSON KELLY ASSOCIATES LTD.

• Principal Place of Business

  5/6 Alamo House

  Sessions House Yard

  Pontefract

  West Yorkshire

  WF8 1BN

  UNITED KINGDOM

  Phone

  +4401977232013

  Web

  https://skassociates.co.uk

• Complaints Contact

  Suite 5-6 Alamo House

  Sessions House Yard

  Pontefract

  West Yorkshire

  WF8 1BN

  UNITED KINGDOM

  Phone

  +4401977232013

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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

  Show 2 limitations Hide limitations

  • · 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.
  • · 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

  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.

• Authorised to Operate

• 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

• Credit Brokering

• 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

• Broderick Peter Gordan Davis

  IRN BPD00002

  • [FCA CF] Client dealing (2 Dec 2020 to 10 Dec 2024)
  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 10 Dec 2024)
  • CF30 Customer (30 Oct 2015 to 8 Dec 2019)
• Craig Watson

  IRN CXW00038

  • 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 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • SMF3 Executive Director (9 Dec 2019 to 14 Mar 2024)
  • CF1 Director (18 Apr 2017 to 8 Dec 2019)
  • CF30 Customer (30 Oct 2015 to 8 Dec 2019)
• Darren Anthony Kelly

  IRN DAK00020

  • 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 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF1 Director (1 Jul 2013 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jul 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jul 2013 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Jul 2013 to 30 Sep 2018)
• Gary James Simpson

  IRN GXS01470

  • 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 2 Dec 2020)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • SMF3 Executive Director (9 Dec 2019 to 14 Mar 2024)
  • CF1 Director (1 Jul 2013 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
• Godfrey Ryan

  IRN GXR00356

  • SMF3 Executive Director (since 23 Oct 2025)
• Jean Elizabeth Geraghty

  IRN JEG00015

  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 28 Nov 2023)
  • [FCA CF] Client dealing (2 Dec 2020 to 28 Nov 2023)
  • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
• Joe Morgan Simpson

  IRN JXS03968

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 15 May 2024)
  • [FCA CF] Functions requiring qualifications (since 15 May 2024)
• Mark Hearsum

  IRN MXH00109

  • 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] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
• Nigel John Atkinson

  IRN NJA00009

  • 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] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
• Paul Michael Ollerton

  IRN PMO01057

  • SMF1 Chief Executive (since 14 Mar 2024)

No changes recorded yet.