SOUND FINANCIAL MANAGEMENT LIMITED

Date authorised
1 April 2013
Companies House
03857961
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    5 Windsor Villas
    Lockyer Street
    Plymouth
    Devon
    PL1 2QD
    UNITED KINGDOM
    Phone
    +4401752207070
    Web
    https://www.sound-financial.co.uk

  • Complaints Contact

    5 Windsor Villas
    Lockyer Street
    Plymouth
    Devon
    PL1 2QD
    UNITED KINGDOM
    Phone
    +4401752207070

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, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • 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 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 Advice (no pensions)

    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, 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, 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

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • 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, 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.

  • Adam John Pollard

    IRN AJP00075

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • SMF16 Compliance Oversight (since 27 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Mar 2024)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (AR) (since 18 Apr 2012)
    • CF30 Customer (since 1 Nov 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 1 Apr 2008)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Apr 2008)
  • Benjamin John Phillips-Jones

    IRN BJP01069

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (16 Dec 2008 to 31 Dec 2009)
  • Charlie William Hill

    IRN CWH01069

    • 11. Pension transfer specialist
    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 1 Aug 2017)
  • Charlotte Louise Watson

    IRN CLW01093

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Aug 2022 to 21 Mar 2024)
    • SMF16 Compliance Oversight (9 Aug 2022 to 21 Mar 2024)
  • Christopher David Lingard

    IRN CDL01063

    • CF1 Director (AR) (22 Apr 2008 to 14 Aug 2009)
  • Christopher John Bacon

    IRN CJB00012

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
  • Christopher Newbold

    IRN CXN00013

    • Appointed representative dealing with clients for which they require qualification (19 Oct 2020 to 31 Jul 2023)
    • [FCA CF] Client dealing (19 Oct 2020 to 31 Jul 2023)
  • Clive Richard Marsh

    IRN CRM00026

    • CF30 Customer (21 Sep 2009 to 30 Dec 2009)
  • David Henry Pooley

    IRN DHP01039

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 10 Jan 2024)
    • CF1 Director (AR) (9 Apr 2008 to 12 Jan 2024)
  • Derek John Hall

    IRN DJH01291

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Jul 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jul 2023)
    • CF30 Customer (9 Jun 2014 to 31 Jul 2023)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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