Steven Martin & Associates Ltd

• Principal Place of Business

  33 - 35 Market Street

  Ulverston

  Cumbria

  LA12 7LR

  UNITED KINGDOM

  Phone

  +4401229585818

• Complaints Contact

  33 - 35 Market Street

  Ulverston

  Cumbria

  LA12 7LR

  UNITED KINGDOM

  Phone

  +4401229585818

• P2P Lending Advice

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

• 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

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  • · 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 Commercial, 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

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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, 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

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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

• Credit Brokering

• Stockbroking

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

• Debt Advice

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  • · 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 and second charge mortgages

• Consumer Loans

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  • · Limited to lending that is in connection with the repayment of fees which are only for ongoing services or regular premiums
  • · Limited to lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement

• Loan Servicing

• Investment Setup

  For Commercial, 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

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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.

• Barry Thomas Fitzsimmons

  IRN BTF00003

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2021)
  • CF30 Customer (7 Jan 2019 to 8 Dec 2019)
• Gary Callow

  IRN GXC00112

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Nov 2020)
  • CF30 Customer (6 May 2015 to 8 Dec 2019)
• Helen Barclay

  IRN HMI00005

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (23 Jan 2017 to 8 Dec 2019)
• John James Wilkinson

  IRN JJW01133

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2020)
  • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
• Lisa Charlotte Tomkinson

  IRN LXT00120

  • 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 12 May 2021)
  • [FCA CF] Client dealing (since 12 May 2021)
• Peter Jeffrey Baines

  IRN PJB00023

  • CF30 Customer (1 Nov 2012 to 14 Feb 2013)
• Sarah Michelle Braithwaite

  IRN SMB01213

  • CF30 Customer (1 Apr 2012 to 29 Nov 2013)
• Shaun Leslie Smith

  IRN SLS00018

  • CF30 Customer (23 Apr 2010 to 29 Jul 2010)
• Steven Martin

  IRN SXM00204

  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (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 (12 May 2016 to 19 Jun 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 Jul 2006 to 30 Sep 2018)
  • CF21 Investment Adviser (3 Jul 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (3 Jul 2006 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (3 Jul 2006 to 31 Mar 2009)
  • CF10 Compliance Oversight (3 Jul 2006 to 8 Dec 2019)
  • CF1 Director (3 Jul 2006 to 8 Dec 2019)

No changes recorded yet.