SRG Financial Management Ltd

Date authorised
1 April 2013
Companies House
NI049448
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    11
    Galgorm Court
    Fenaghy Road
    Galgorm
    Ballymena
    Northern Ireland
    BT42 1HW
    UNITED KINGDOM
    Phone
    +4402825640919
    Web
    https://www.srgfinancial.com

  • Complaints Contact

    11
    Galgorm Court
    Fenaghy Road
    Galgorm
    Ballymena
    Northern Ireland
    BT42 1HW
    UNITED KINGDOM
    Phone
    +442825640919

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Pension Transfer Advice

    For 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
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · 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 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.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Retail (Investment), Retail (Non-Investment Insurance), Debenture, Funeral plan contract, 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.

  • Buy-to-Let Start Date

  • Buy-to-Let End Date

  • Buy-to-Let Status

  • Credit Brokering

  • Stockbroking

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

  • Debt Advice

    Show 2 limitations
    • · This permission is limited to debt counselling with no debt management activity
    • · This permission is limited to debt counselling which is provided in connection with investment advice and buy to let mortgages

  • Investment Setup

    For Retail (Investment), Retail (Non-Investment Insurance), Debenture, Funeral plan contract, 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.

  • Basic Pension Advice

    For Retail (Investment), Stakeholder products

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Mark Glenn Taggart

    IRN MXT00704

    • 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)
    • SMF3 Executive Director (since 19 Jun 2025)
    • [FCA CF] Client dealing (since 3 Mar 2025)
    • [FCA CF] Functions requiring qualifications (since 3 Mar 2025)
  • Nigel Graham

    IRN NXG01168

    • 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
    • SMF3 Executive Director (since 18 Jun 2025)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
  • Paul Burnside

    IRN PXB01961

    • CF30 Customer (21 Jan 2013 to 6 Jan 2014)
  • William Robert Stevenson

    IRN WRS00005

    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (3 Apr 2016 to 18 Feb 2025)
    • CF11 Money Laundering Reporting (3 Jan 2012 to 8 Dec 2019)
    • CF1 Director (3 Jan 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2012 to 8 Dec 2019)
    • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Jan 2012 to 30 Sep 2018)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • Paul Burnside (no longer appointed)

    FRN 593670 · Appointed 2 Jan 2013 · Until 6 Dec 2013

Recent activity

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

No changes recorded yet.