SP Financial Management Limited

• Principal Place of Business

  S P Financial Management

  69B High Street

  Rayleigh

  Essex

  SS6 7EJ

  UNITED KINGDOM

  Phone

  +4403301230135

  Web

  https://www.spfm.co.uk

• Complaints Contact

  S P Financial Management

  69B High Street

  Rayleigh

  Essex

  SS6 7EJ

  UNITED KINGDOM

  Phone

  +4403301230135

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 2 limitations Hide 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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 Hide 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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 Hide 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Stockbroking

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

• Equity Release Setup

  For Customer, Home reversion plans

• 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, Unit, Warrant

  Show 1 limitation Hide 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.

• Aaron John Mears

  IRN AJM01567

  • CF11 Money Laundering Reporting (9 Jul 2010 to 10 Jan 2012)
  • CF10 Compliance Oversight (9 Jul 2010 to 10 Jan 2012)
  • CF1 Director (28 Jul 2009 to 8 Feb 2012)
  • CF30 Customer (1 Nov 2007 to 8 Feb 2012)
  • CF24 Pension Transfer Specialist (13 Jul 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (20 Jul 2006 to 31 Oct 2007)
• Adrian James Clayfield

  IRN AJC00006

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Nov 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Nov 2022)
  • SMF3 Executive Director (9 Dec 2019 to 8 Nov 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Nov 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 8 Nov 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 8 Nov 2022)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 8 Nov 2022)
  • CF11 Money Laundering Reporting (15 Sep 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Sep 2014 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (18 Mar 2004 to 31 Oct 2007)
  • CF1 Director (21 Nov 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (21 Nov 2003 to 31 Oct 2007)
• Anthony Paul Linnane

  IRN APL01097

  • CF30 Customer (18 Feb 2013 to 30 Mar 2015)
• Antony Charles Hesford-Duckworth

  IRN ACH01145

  • [FCA CF] Client dealing (9 Dec 2019 to 22 Jun 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Jun 2022)
  • CF30 Customer (26 Oct 2015 to 8 Dec 2019)
• Barry David Porter

  IRN BDP00006

  • CF11 Money Laundering Reporting (9 Oct 2008 to 8 Jun 2010)
  • CF30 Customer (1 Nov 2007 to 22 Nov 2010)
  • Responsible for Insurance Mediation (14 Jan 2005 to 22 Nov 2010)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF1 Director (1 Dec 2001 to 7 Jun 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Jun 2010)
• Carol Anne Bisley

  IRN CAB00043

  • CF30 Customer (1 Nov 2007 to 21 Apr 2008)
  • CF11 Money Laundering Reporting (3 Aug 2004 to 1 Jul 2008)
  • CF21 Investment Adviser (23 Jan 2004 to 31 Oct 2007)
  • CF1 Director (7 Apr 2003 to 4 Sep 2008)
  • CF22 Investment Adviser (Trainee) (7 Apr 2003 to 23 Jan 2004)
• Catharine Jennifer Garner

  IRN CJT01100

  • CF1 Director (AR) (16 Jan 2018 to 31 Oct 2019)
• Claire Eleanor Hargreaves

  IRN CXH27115

  • CF1 Director (AR) (14 Jan 2020 to 16 Jun 2020)
• Craig Tyrell

  IRN CXT01274

  • CF1 Director (AR) (9 Aug 2017 to 12 Jun 2020)
• Daniel John Jeffreys

  IRN DJJ00012

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Aug 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Aug 2023)
  • CF30 Customer (3 Nov 2016 to 8 Dec 2019)

• Bubble Student Limited (no longer appointed)

  FRN 823466 · Appointed 17 Oct 2018 · Until 23 May 2019

• Global Benefits Group (UK) Limited (no longer appointed)

  FRN 784873 · Appointed 24 Jul 2017 · Until 30 Jun 2020

• New Moon Insurance Services Ltd (no longer appointed)

  FRN 498667 · Appointed 14 Jul 2011 · Until 2 Oct 2015

No changes recorded yet.