STIRLING FINANCIAL MANAGEMENT UK LIMITED

Date authorised
1 April 2013
Companies House
SC277159
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    15 Dollarbeg Park
    Dollar
    Clackmannanshire
    FK14 7LJ
    UNITED KINGDOM
    Phone
    +4401259742072

  • Complaints Contact

    15 Dollarbeg Park
    Dollar
    Clackmannanshire
    FK14 7LJ
    UNITED KINGDOM
    Phone
    +4401259742072

What this firm is allowed to do

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

  • P2P Lending Advice

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

  • Investment Advice (no pensions)

    For 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.

  • Authorised to Operate

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

  • Arranges Investments

    For 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.

  • Investment Setup

    For 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.

Approved individuals

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

  • Christopher John McMullan

    IRN CJM01305

    • CF1 Director (7 Jun 2005 to 30 Nov 2007)
  • Frank Samuel McMullan

    IRN FXM00012

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 25 Feb 2021)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (7 Jun 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (7 Jun 2005 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (7 Jun 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Jun 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (7 Jun 2005 to 20 Oct 2008)
    • CF1 Director (7 Jun 2005 to 8 Dec 2019)
  • Lorraine Christina McMullan

    IRN LCM01030

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (7 Jun 2005 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.