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

• Nicholas Fred Barnett

  IRN NFB01025

  • CF21 Investment Adviser (6 Dec 2004 to 16 Feb 2007)
  • CF22 Investment Adviser (Trainee) (1 Sep 2004 to 6 Dec 2004)
• Paul Andrew Rennolds

  IRN PAR00058

  • CF21 Investment Adviser (1 Dec 2001 to 28 Apr 2003)
• Peter Thorpe

  IRN PXT00005

  • CF22 Investment Adviser (Trainee) (2 Feb 2003 to 4 Jul 2003)
• Philip Andrews

  IRN PXA00044

  • CF22 Investment Adviser (Trainee) (12 Oct 2002 to 1 May 2003)
• Philip John Dixon

  IRN PJD00041

  • CF30 Customer (1 Nov 2007 to 1 Oct 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Richard John Percival

  IRN RJP01175

  • CF22 Investment Adviser (Trainee) (7 Feb 2003 to 3 Sep 2003)
• Richard Mark Broadbent

  IRN RMB00074

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (27 Jun 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Jan 2006 to 27 Jun 2006)
• Ronald Harrold

  IRN RXH00166

  • CF22 Investment Adviser (Trainee) (1 Dec 2005 to 8 Sep 2006)
• Roy McKie

  IRN RXM00010

  • CF22 Investment Adviser (Trainee) (9 Dec 2002 to 21 Oct 2003)
• Russell Nisbet

  IRN RXN00004

  • CF21 Investment Adviser (1 Dec 2001 to 17 Dec 2002)

No changes recorded yet.