SOVEREIGN MONEY MATTERS LIMITED

• Principal Place of Business

  Sovereign Financial Partners

  Sovereign House Unit 9

  Ebor Court

  Malton Way

  Doncaster

  DN6 7FE

  UNITED KINGDOM

  Phone

  +4401302721633

  Web

  https://www.sovereignfp.co.uk

• Complaints Contact

  Sovereign Financial Partners

  Sovereign House Unit 9

  Ebor Court

  Malton Way

  Doncaster

  DN6 7FE

  UNITED KINGDOM

  Phone

  +4401302721633

• 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

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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, 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, 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

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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

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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.

• Alexander James Swain

  IRN AJS01761

  • CF30 Customer (2 Jan 2018 to 12 Jun 2019)
• Andrew David Howson

  IRN ADH01110

  • 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 11 Jul 2022)
  • Appointed representative dealing with clients for which they require qualification (since 11 Jul 2022)
  • CF30 Customer (12 Oct 2022 to 24 Dec 2025)
• Charles James Mardon

  IRN CJM01310

  • CF1 Director (AR) (since 12 Dec 2025)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Jul 2013 to 8 Dec 2019)
• Damion Michael KEYWORTH

  IRN DMK01058

  • [FCA CF] Functions requiring qualifications (14 Apr 2021 to 31 Dec 2023)
  • [FCA CF] Client dealing (14 Apr 2021 to 31 Dec 2023)
• Daniel Anthony Scott Holmes

  IRN DXH00203

  • [FCA CF] Functions requiring qualifications (17 Jan 2022 to 23 Dec 2024)
  • [FCA CF] Client dealing (17 Jan 2022 to 23 Dec 2024)
• Darren Michael Lambert

  IRN DML00012

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 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
  • Appointed representative dealing with clients for which they require qualification (since 13 Apr 2021)
  • [FCA CF] Client dealing (since 13 Apr 2021)
  • CF30 Customer (since 3 Jun 2020)
• Emma Michelle Parker

  IRN EMP01035

  • [FCA CF] Client dealing (13 Apr 2021 to 11 Apr 2024)
  • [FCA CF] Functions requiring qualifications (13 Apr 2021 to 11 Apr 2024)
• Georgina Emma Whysall

  IRN GEW01040

  • CF11 Money Laundering Reporting (15 Jan 2016 to 15 Jun 2016)
  • CF10 Compliance Oversight (15 Dec 2015 to 15 Jun 2016)
• Ian Michael Speakman

  IRN IMS00017

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2020)
  • CF10 Compliance Oversight (26 Sep 2016 to 25 Feb 2019)
  • CF11 Money Laundering Reporting (26 Sep 2016 to 25 Feb 2019)
  • CF30 Customer (26 Sep 2016 to 8 Dec 2019)
• James Anthony Slater

  IRN JAS01461

  • CF30 Customer (24 May 2019 to 24 Oct 2019)

• AireValley IFA Ltd

  FRN 926692 · Appointed 26 May 2020

No changes recorded yet.