Swallow Financial Management LLP

• Principal Place of Business

  1 Park Hill

  Swallownest

  Sheffield

  South Yorkshire

  S26 4UN

  UNITED KINGDOM

  Phone

  +4401142691003

• Complaints Contact

  1 Park Hill

  Swallownest

  Sheffield

  South Yorkshire

  S26 4UN

  UNITED KINGDOM

  Phone

  +4401142691003

• P2P Lending Advice

  For Commercial, Professional, 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, 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

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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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  For Professional, Retail (Investment)

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  • · 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• 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, 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.

• David Steven Hatton

  IRN DSH00007

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF27 Partner (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 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (5 Feb 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (5 Feb 2007 to 31 Mar 2009)
  • CF10 Compliance Oversight (5 Feb 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF4 Partner (30 May 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (30 May 2003 to 31 Oct 2007)
• John Charles Clayton

  IRN JCC01121

  • CF21 Investment Adviser (23 Jan 2004 to 7 Jul 2004)
• Michael Francis Brookfield

  IRN MFB00025

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 May 2025)
  • CF30 Customer (21 Jan 2013 to 8 Dec 2019)
• Peter Kozlowski

  IRN PXK00029

  • CF8 Apportionment and Oversight (30 May 2003 to 25 Jan 2007)
  • CF10 Compliance Oversight (30 May 2003 to 25 Jan 2007)
  • CF11 Money Laundering Reporting (30 May 2003 to 25 Jan 2007)
  • CF21 Investment Adviser (30 May 2003 to 25 Jan 2007)
  • CF4 Partner (30 May 2003 to 25 Jan 2007)
• Stephen Patrick Bree

  IRN SPB00055

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 May 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (18 May 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (9 Jul 2004 to 18 May 2006)
• Susan Katie Hatton

  IRN SKH01036

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (5 Feb 2007 to 8 Dec 2019)

No changes recorded yet.