SMG F.S LIMITED

Date authorised
1 April 2013
Companies House
01670009
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

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

  • 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

    Show 2 limitations
    • · 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

    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.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • 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, 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

    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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Credit Brokering

    Show 1 limitation
    • · Limited to not brokering credit for the purpose of increasing the funds available for investment

  • Debt Advice

    Show 2 limitations
    • · 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

    Show 2 limitations
    • · 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

    Show 2 limitations
    • · 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

    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.

  • Credit Score Services

    Show 1 limitation
    • · This permission is limited to not carrying out credit repair services

Approved individuals

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

  • Stephen Anthony Roberts

    IRN SAR01113

    • 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 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (21 Mar 2017 to 8 Dec 2019)
  • Stephen Gary Robinson

    IRN SGR00022

    • CF30 Customer (1 Nov 2007 to 20 Dec 2008)
    • CF21 Investment Adviser (4 Dec 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (17 Nov 2005 to 4 Dec 2006)
  • Timothy John Francis

    IRN TJF00001

    • CF21 Investment Adviser (13 Apr 2005 to 10 Jun 2005)
    • CF22 Investment Adviser (Trainee) (19 Jan 2004 to 13 Apr 2005)
  • Timothy John Veazey

    IRN TJV01010

    • CF30 Customer (1 Nov 2007 to 13 Jun 2008)
    • CF22 Investment Adviser (Trainee) (8 Oct 2003 to 31 Oct 2007)
  • Warwick John Alexander Heap

    IRN WJH01053

    • 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 (5 Sep 2018 to 8 Dec 2019)
  • William Robert Godwin

    IRN WRG00002

    • CF21 Investment Adviser (1 Dec 2001 to 5 Feb 2003)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 5 Feb 2003)

Recent activity

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

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