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.

  • Philip Todd O'Connor

    IRN PTO01008

    • 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 5 Jun 2025)
    • [FCA CF] Functions requiring qualifications (since 5 Jun 2025)
  • Richard David Higgs

    IRN RXH00559

    • 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 4 Aug 2025)
    • [FCA CF] Functions requiring qualifications (since 4 Aug 2025)
  • Robert Ian Ferguson

    IRN RXF00122

    • [FCA CF] Functions requiring qualifications (16 Dec 2020 to 31 May 2023)
    • [FCA CF] Client dealing (16 Dec 2020 to 17 Dec 2020)
  • Safeer Sarmad Sulehman

    IRN SXS00815

    • 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 22 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 22 Nov 2021)
  • Simon Baggott

    IRN SXB00547

    • [FCA CF] Functions requiring qualifications (18 Mar 2020 to 3 Jun 2025)
    • [FCA CF] Client dealing (18 Mar 2020 to 3 Jun 2025)
  • Simon John Noble

    IRN SJN01114

    • CF1 Director (AR) (9 Aug 2010 to 1 Dec 2011)
  • Stephen Hay

    IRN SXH00145

    • CF30 Customer (1 Nov 2007 to 15 May 2019)
    • CF21 Investment Adviser (29 Nov 2006 to 31 Oct 2007)
  • Steven Paul Walker

    IRN SXW00364

    • 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] Functions requiring qualifications (since 18 Mar 2020)
    • [FCA CF] Client dealing (since 18 Mar 2020)

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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