Solomon's

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

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Old Mill
    Cobbham Park Road
    COBHAM
    Surrey
    KT11 3NE
    UNITED KINGDOM
    Phone
    +4402085428084
    Web
    https://www.solomonsifa.co.uk

  • Complaints Contact

    The Old Mill
    Cobbham Park Road
    COBHAM
    Surrey
    KT11 3NE
    UNITED KINGDOM
    Phone
    +4402085428084

What this firm is allowed to do

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

  • P2P Lending Advice

    For Professional, Retail (Investment)

  • Pension Transfer Advice

    For 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
    • · 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.
    • · 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 Advice (no pensions)

    For Professional, Retail (Investment), 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, 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, 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.

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • 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, 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.

  • Arthur Damer Wynyard

    IRN ADW00014

    • CF30 Customer (1 Nov 2007 to 21 Dec 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Daniel Liddicott

    IRN DXL00425

    • 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 21 Aug 2023)
    • [FCA CF] Functions requiring qualifications (since 21 Aug 2023)
  • Derek Mark Steven Hall

    IRN DMH00021

    • CF30 Customer (1 Nov 2007 to 23 Dec 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Dominic Sebastian Richard Thomas

    IRN DST00008

    • 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
    • SMF29 Limited scope function (limited scope SMCR firms only) (since 24 Oct 2024)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF7 Sole Trader (1 Dec 2001 to 31 Jan 2007)
  • Iain Henry Morrison

    IRN IHM00003

    • CF22 Investment Adviser (Trainee) (1 Sep 2004 to 1 Dec 2004)
  • Silas Chun Haw Voon

    IRN SCV00006

    • CF21 Investment Adviser (1 Mar 2003 to 31 May 2003)

Recent activity

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

No changes recorded yet.