Steve Wassell Insurance Management Ltd

Date authorised
1 April 2013
Companies House
04826045
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Investment House
    Tamar Street
    Torpoint
    Cornwall
    PL11 2AW
    UNITED KINGDOM
    Phone
    +4401752815766
    Web
    https://www.swimltd.co.uk

  • Complaints Contact

    Investment House
    Tamar Street
    Torpoint
    Cornwall
    PL11 2AW
    UNITED KINGDOM
    Phone
    +4401752815766

What this firm is allowed to do

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

  • 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 Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

    Show 1 limitation
    • · 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 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, 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.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

    Show 1 limitation
    • · 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, 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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Insurance Admin

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

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Stockbroking

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

  • 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 advice on mortgages, second charge mortgages, BTL and re-mortgages.

  • 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

    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.

  • Credit Score Services

    Show 1 limitation
    • · This permission is limited to not carrying out credit repair services

Approved individuals

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

  • Paul David Davies

    IRN PDD01061

    • CF1 Director (AR) (1 Jun 2022 to 5 Jan 2024)
  • Sean Bingley Benson

    IRN SBB01035

    • CF1 Director (AR) (27 Sep 2016 to 6 Sep 2018)
  • Simon Middleton

    IRN SXM01946

    • CF1 Director (AR) (4 Jul 2022 to 14 Mar 2024)
  • Stephen Christopher Wassell

    IRN SCW00004

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • [FCA CF] Functions requiring qualifications (since 28 Feb 2024)
    • 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 (since 21 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (11 May 2004 to 8 Dec 2019)
    • CF1 Director (11 May 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 May 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (11 May 2004 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (11 May 2004 to 1 Nov 2007)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.