SMG F.S LIMITED

• Principal Place of Business

  6A Harewood Yard

  Harewood

  Leeds

  West Yorkshire

  LS17 9LF

  UNITED KINGDOM

  Phone

  +4401133873470

  Web

  https://www.smgfs.com

• Complaints Contact

  6A Harewood Yard

  Harewood

  Leeds

  West Yorkshire

  LS17 9LF

  UNITED KINGDOM

  Phone

  +4401133873470

• P2P Lending Advice

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

• Pension Transfer Advice

  For Eligible Counterparty, Professional, 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

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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, Eligible Counterparty, 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.

• Arranges Investments

  For Commercial, Eligible Counterparty, 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

• Credit Brokering

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  • · Limited to not brokering credit for the purpose of increasing the funds available for investment

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages and second charge mortgages.

• Consumer Loans

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  • · Limited to lending that is in connection with the repayment of fees which are only for ongoing services or regular premiums
  • · This permission is limited to exercising the rights and duties of loans which the firm carries on as a supplier - and (i) no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement;(ii) the regulated credit agreement is not a hire-purchase agreement or a conditional sale agreement; and (iii) unless the firm is a not-for profit body, the obligation of the borrower to repay is not secured, and is not to be secured, by a legal mortgage on land

• Loan Servicing

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  • · Limited to lending that is in connection with the repayment of fees which are only for ongoing services or regular premiums
  • · This permission is limited to exercising the rights and duties of loans which the firm carries on as a supplier - and (i) no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement;(ii) the regulated credit agreement is not a hire-purchase agreement or a conditional sale agreement; and (iii) unless the firm is a not-for profit body, the obligation of the borrower to repay is not secured, and is not to be secured, by a legal mortgage on land

• Investment Setup

  For Commercial, Eligible Counterparty, 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.

• Credit Score Services

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  • · This permission is limited to not carrying out credit repair services

• Darrell Mark Wood

  IRN DMW00009

  • CF21 Investment Adviser (15 Mar 2002 to 12 Feb 2003)
• David Christopher Duncan

  IRN DCD00023

  • [FCA CF] Functions requiring qualifications (1 Apr 2022 to 17 Sep 2024)
  • [FCA CF] Client dealing (1 Apr 2022 to 17 Sep 2024)
• David Christopher Green

  IRN DCG00019

  • CF30 Customer (5 May 2009 to 30 Jun 2014)
• Derek Humphrey

  IRN DXH00413

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• Eric McMullan

  IRN EXM01179

  • CF22 Investment Adviser (Trainee) (8 Apr 2002 to 17 May 2002)
• Genna Richmond

  IRN GXR00260

  • 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 19 Jul 2023)
  • [FCA CF] Client dealing (since 19 Jul 2023)
• George Grant Talman

  IRN GGT01012

  • CF21 Investment Adviser (9 Jul 2003 to 30 Apr 2004)
  • CF22 Investment Adviser (Trainee) (10 Jun 2002 to 9 Jul 2003)
• Graham James Strugnell

  IRN GJS00010

  • CF22 Investment Adviser (Trainee) (1 Jan 2004 to 29 Nov 2004)
• Graham Robert Douglas

  IRN GRD00012

  • CF30 Customer (1 Nov 2007 to 31 Dec 2015)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 30 Jun 2014)
• James Gordon Williams

  IRN JGW00019

  • CF22 Investment Adviser (Trainee) (28 Aug 2002 to 1 Aug 2003)

No changes recorded yet.