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.

• David Brocklesby

  IRN DXB00512

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 31 Oct 2022)
• Eugene Richard Nealon

  IRN EXN01105

  • CF1 Director (AR) (26 Oct 2017 to 19 Apr 2019)
• Gary James Lockett

  IRN GJL01080

  • SMF3 Executive Director (since 20 Feb 2023)
  • SMF1 Chief Executive (since 10 Oct 2022)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • SMF3 Executive Director (9 Dec 2019 to 10 Oct 2022)
  • Responsible for Insurance Mediation (25 Jan 2011 to 30 Sep 2018)
  • CF1 Director (6 Aug 2007 to 8 Dec 2019)
• Gavin George Johnson

  IRN GGJ00001

  • CF1 Director (27 Feb 2012 to 15 Sep 2014)
  • CF11 Money Laundering Reporting (7 Feb 2012 to 15 Sep 2014)
  • CF10 Compliance Oversight (25 Jan 2012 to 15 Sep 2014)
  • CF30 Customer (7 Mar 2011 to 23 Jan 2015)
• James Frederick Arthur Rhind

  IRN JFR00010

  • CF30 Customer (1 Nov 2007 to 20 Nov 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
• Jim Hom

  IRN JXH23338

  • CF2 Non Executive Director (AR) (7 Nov 2019 to 16 Jun 2020)
• Joe McArdle

  IRN JXM03999

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • Responsibility for MCD Intermediation (since 14 Apr 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Apr 2023)
  • SMF16 Compliance Oversight (since 14 Apr 2023)
  • Responsible for Insurance Distribution (since 14 Apr 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• John O'Connor

  IRN JXO27511

  • CF1 Director (AR) (23 Jan 2020 to 16 Jun 2020)
• Marlene Rose Painter

  IRN MRP01086

  • CF1 Director (7 Apr 2003 to 19 Nov 2008)
• Neil Dobson

  IRN NJD00020

  • 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 18 Sep 2023)
  • [FCA CF] Client dealing (since 18 Sep 2023)

• 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.