SMG Financial Management Limited

Date authorised
1 April 2013
Companies House
SC254010
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    S M G Financial Management Ltd
    Campbell House
    The Crichton
    Bankend Road
    Dumfries
    Dumfries & Galloway
    DG1 4UQ
    UNITED KINGDOM
    Phone
    +4401387254559

  • Complaints Contact

    S M G Financial Management Ltd
    Campbell House
    The Crichton
    Bankend Road
    Dumfries
    Dumfries & Galloway
    DG1 4UQ
    UNITED KINGDOM
    Phone
    +4401387254559

What this firm is allowed to do

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

  • Pension Transfer Advice

    For Retail (Investment), Personal pension scheme, Stakeholder pension scheme

    Show 1 limitation
    • · 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 Advice (no pensions)

    For 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 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.

  • Investment Setup

    For 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.

  • Andrew Kenneth Mitchell

    IRN AKM00001

    • CF30 Customer (8 Jun 2011 to 30 Mar 2012)
    • CF4 Partner (AR) (8 Jun 2011 to 30 Mar 2012)
  • Blair McCubbin

    IRN BXM12330

    • 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] Manager of certification employee (since 12 Feb 2024)
    • SMF16 Compliance Oversight (since 15 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Nov 2023)
    • Responsible for Insurance Distribution (since 15 Nov 2023)
    • SMF3 Executive Director (since 23 Feb 2023)
    • [FCA CF] Client dealing (since 1 Jun 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Jun 2020)
  • Deborah Ann Turnbull

    IRN DAT01132

    • CF4 Partner (AR) (20 Oct 2011 to 30 Mar 2012)
  • Robin James Dale

    IRN RXD00117

    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (12 Jul 2016 to 8 Dec 2019)
  • Shaun McGauchie

    IRN SXM00176

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 12 Feb 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 Feb 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 12 Feb 2024)
    • CF1 Director (AR) (31 Mar 2008 to 6 Nov 2009)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (19 Apr 2005 to 31 Mar 2009)
    • CF1 Director (19 Apr 2005 to 8 Dec 2019)
    • Responsible for Insurance Mediation (19 Apr 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (19 Apr 2005 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (19 Apr 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 Apr 2005 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.