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.

  • Glen Roman Clark

    IRN GRC00021

    • CF21 Investment Adviser (1 Dec 2001 to 20 Aug 2004)
  • Graham Joseph Coates

    IRN GJC00055

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (30 Apr 2004 to 31 Oct 2007)
  • Gregory James Humphries

    IRN GJH00047

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2024)
    • CF30 Customer (30 Sep 2019 to 8 Dec 2019)
  • James David Moore

    IRN JDM01136

    • [FCA CF] Client dealing (9 Dec 2019 to 29 Dec 2023)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 29 Dec 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Dec 2023)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2023)
    • CF21 Investment Adviser (16 Nov 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Apr 2003 to 16 Nov 2006)
  • Jennifer Julie Moriarty

    IRN JJM01115

    • 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 27 Oct 2021)
    • [FCA CF] Functions requiring qualifications (since 27 Oct 2021)
  • John Gene Rio

    IRN JGR00010

    • CF30 Customer (9 Jun 2014 to 31 Dec 2017)
  • Jonathan James Marshall

    IRN JXM04051

    • 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 1 Jul 2024)
    • [FCA CF] Client dealing (since 1 Jul 2024)
  • Kimberley Christina Durrigan

    IRN KCD01016

    • CF30 Customer (18 Mar 2011 to 31 May 2013)
  • Martin John Pearse

    IRN MJP01335

    • CF1 Director (AR) (22 Apr 2008 to 14 Aug 2009)
  • Matthew Charles Iles

    IRN MCI00001

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Aug 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2021)
    • CF30 Customer (10 May 2019 to 20 Oct 2021)
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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.

No changes recorded yet.