SUTTON MCGRATH HARTLEY (FINANCIAL SERVICES) LLP

• Principal Place of Business

  S M H Estates Ltd

  18 Stalker Walk

  Sheffield

  S11 8NF

  UNITED KINGDOM

  Phone

  +441142664432

  Web

  https://www.smh.group

• Complaints Contact

  5 Westbrook Court

  Sharrow Vale Road

  Sheffield

  South Yorkshire

  S11 8YZ

  UNITED KINGDOM

  Phone

  +441142664432

• 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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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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

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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

• 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 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.

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• 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 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.

• . EST Financial Limited

  IRN XXE01110

  • SMF27 Partner (9 Dec 2019 to 21 Dec 2024)
  • CF4 Partner (1 Sep 2016 to 8 Dec 2019)
• . Sutton McGrath Hartley Limited

  IRN XXS01280

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (1 Sep 2016 to 8 Dec 2019)
• Alessandra Lee

  IRN AXL00633

  • 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 1 Jul 2025)
  • [FCA CF] Client dealing (since 1 Jul 2025)
• Andrew Elliot Huby

  IRN AEH00025

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 30 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 30 Nov 2020)
  • CF30 Customer (20 Jun 2019 to 8 Dec 2019)
• Cameron Hart

  IRN CXH00991

  • 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 30 Jan 2026)
  • [FCA CF] Client dealing (since 30 Jan 2026)
• Elyott Villiers

  IRN EXV00078

  • 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 15 Sep 2025)
  • [FCA CF] Client dealing (since 15 Sep 2025)
• James Hargreaves

  IRN JXH17442

  • 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] Client dealing (since 18 Oct 2022)
  • [FCA CF] Functions requiring qualifications (since 18 Oct 2022)
• Martin James Hatton

  IRN MJH00044

  • [FCA CF] Client dealing (30 Nov 2020 to 26 Sep 2025)
  • [FCA CF] Functions requiring qualifications (30 Nov 2020 to 26 Sep 2025)
  • CF30 Customer (28 Jun 2018 to 8 Dec 2019)
• Simon Turner

  IRN SXT00085

  • 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 30 Nov 2020)
  • [FCA CF] Client dealing (since 30 Nov 2020)
  • 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)
  • [FCA CF] Manager of certification employee (30 Nov 2020 to 17 Feb 2025)
  • SMF27 Partner (9 Dec 2019 to 12 Nov 2020)
  • CF10 Compliance Oversight (1 Sep 2016 to 8 Dec 2019)
  • CF30 Customer (1 Sep 2016 to 8 Dec 2019)
  • CF4 Partner (1 Sep 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Sep 2016 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Sep 2016 to 8 Dec 2019)

No changes recorded yet.