Steven Barton

Date authorised
1 April 2013
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Park House
    48-50 Manchester Road
    Haslingden
    Rossendale
    Lancashire
    BB4 5ST
    UNITED KINGDOM
    Phone
    +4401706244900

  • Complaints Contact

    Park House
    48-50 Manchester Road
    Haslingden
    Rossendale
    Lancashire
    BB4 5ST
    UNITED KINGDOM
    Phone
    +4401706244901

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 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 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.

  • 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
    • · 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, 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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Debt Advice

    Show 2 limitations
    • · This permission is limited to debt counselling with no debt management activity
    • · Limited to debt counselling which is provided in connection with Investment Advice, Bridging Finance, Buy-To-Let Mortgages, Second Charge 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.

Approved individuals

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

  • Alan Joseph Clutton

    IRN AJC00067

    • CF30 Customer (16 Oct 2008 to 24 Oct 2008)
  • Steven Barton

    IRN SXB00098

    • 11. Pension transfer specialist
    • 9A. Advising on P2P agreements
    • 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 17 Nov 2020)
    • [FCA CF] Client dealing (since 17 Nov 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (16 Oct 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (16 Oct 2008 to 8 Dec 2019)
    • CF30 Customer (16 Oct 2008 to 8 Dec 2019)
    • CF4 Partner (16 Oct 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (16 Oct 2008 to 5 Dec 2008)
    • Responsible for Insurance Mediation (16 Oct 2008 to 30 Sep 2018)
  • Steven Lee Barton

    IRN SLB01122

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 17 Nov 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 7 Sep 2016)
    • CF30 Customer (16 Oct 2008 to 31 Dec 2012)
    • CF4 Partner (16 Oct 2008 to 8 Dec 2019)

Recent activity

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

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