SMCL3 Limited

Date authorised
3 May 2017
Companies House
07051093
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    17 Wildspur Grove
    New Mill
    Holmfirth
    West Yorkshire
    HD9 1JB
    UNITED KINGDOM
    Phone
    +4401484687965

  • Complaints Contact

    17 Wildspur Grove
    New Mill
    Holmfirth
    West Yorkshire
    HD9 1JB
    UNITED KINGDOM
    Phone
    +4401484687965

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Karen McLaughlin

    IRN KXM02309

    • SMF3 Executive Director (9 Dec 2019 to 12 Jun 2025)
    • CF1 Director (3 May 2017 to 8 Dec 2019)
  • Shaun Patrick McLaughlin

    IRN SPM00004

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Client dealing (since 8 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 8 Dec 2020)
    • SMF3 Executive Director (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)
    • CF30 Customer (3 May 2017 to 8 Dec 2019)
    • CF1 Director (3 May 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 May 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 May 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 May 2017 to 30 Sep 2018)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.