Suttons Independent Financial Advisers Limited

Date authorised
1 April 2013
Companies House
05837639
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Trinity House
    114 Northenden Road
    Sale
    Greater Manchester
    M33 3HD
    UNITED KINGDOM
    Phone
    +4401619691703
    Web
    https://www.suttonsifa.co.uk

  • Complaints Contact

    Trinity House
    114 Northenden Road
    Sale
    Greater Manchester
    M33 3HD
    UNITED KINGDOM
    Phone
    +4401619691703

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

  • 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
    • · 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, 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

  • Debt Advice

    Show 2 limitations
    • · Limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages and second charge mortgage]
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • 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
    • · Limited to not carrying out credit repair services

Approved individuals

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

  • James Phee

    IRN JXP00902

    • CF1 Director (AR) (since 13 Feb 2024)
    • CF30 Customer (since 13 Feb 2024)
    • SMF3 Executive Director (30 Jan 2024 to 16 Apr 2024)
  • John Arthur Harvey sutton

    IRN JAS00030

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 29 Mar 2017)
    • CF1 Director (AR) (since 5 Aug 2010)
    • [FCA CF] Client dealing (9 Dec 2019 to 23 Apr 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Apr 2025)
    • CF30 Customer (1 Nov 2007 to 28 Apr 2025)
    • CF10 Compliance Oversight (29 Nov 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Nov 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (29 Nov 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (29 Nov 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (29 Nov 2006 to 30 Sep 2018)
    • CF1 Director (29 Nov 2006 to 8 Dec 2019)
  • Keith Simon Phillips

    IRN KSP00003

    • 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 Mar 2026)
    • [FCA CF] Client dealing (since 1 Mar 2026)
  • Lisa Davies

    IRN LXD01281

    • [FCA CF] Client dealing (9 Dec 2019 to 7 Jan 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Jan 2022)
    • CF30 Customer (6 Oct 2017 to 8 Dec 2019)
  • Luke Davidson

    IRN LXD00471

    • 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 2 Feb 2026)
    • [FCA CF] Client dealing (since 2 Feb 2026)
  • Luke Jordan Mather

    IRN LXM00004

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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 Oct 2023)
    • [FCA CF] Client dealing (since 30 Oct 2023)
  • Matthew Alexander Cook

    IRN MAC01221

    • CF30 Customer (24 Oct 2016 to 2 May 2019)
  • Natalie Elizabeth Hopkinson

    IRN NEH01016

    • CF30 Customer (25 Apr 2019 to 19 Jun 2019)
  • Nicholas John Cosby

    IRN NJC00042

    • CF30 Customer (27 Apr 2016 to 23 Sep 2016)
  • Paul Anthony Lindfield

    IRN PAL00050

    • CF21 Investment Adviser (29 Nov 2006 to 14 Aug 2007)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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