Stephenson Smart Financial Services Limited

• Principal Place of Business

  36 Tyndall Court

  Commerce Road

  Lynchwood

  Peterborough

  PE2 6LR

  UNITED KINGDOM

  Phone

  +4401733572200

  Web

  https://www.stephensonsmartfinancial.co.uk

• Complaints Contact

  36 Tyndall Court

  Commerce Road

  Lynchwood

  Peterborough

  PE2 6LR

  UNITED KINGDOM

  Phone

  +4401733572200

• P2P Lending Advice

  For Professional, Retail (Investment)

• 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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  • · 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), 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.

• 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), 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.

• Insurance Admin

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

• Stockbroking

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

• 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”.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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.

• Garry Michael Wiles

  IRN GMW00034

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Ian Robert Donmall

  IRN IRD01020

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF1 Director (23 Feb 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (23 Feb 2010 to 30 Sep 2018)
  • CF10 Compliance Oversight (23 Feb 2010 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (22 Oct 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (15 Aug 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (11 Jul 2007 to 15 Aug 2007)
• Martyn John Voss

  IRN MJV00005

  • CF30 Customer (1 Nov 2007 to 28 Jan 2010)
  • Responsible for Insurance Mediation (24 Jan 2005 to 28 Jan 2010)
  • CF10 Compliance Oversight (1 Dec 2001 to 28 Jan 2010)
  • CF1 Director (1 Dec 2001 to 28 Jan 2010)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 28 Jan 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Robert John Burborough

  IRN RJB01499

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF1 Director (23 Feb 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (23 Feb 2010 to 8 Dec 2019)

No changes recorded yet.