TEESSIDE FINANCIAL MANAGEMENT LIMITED

• Principal Place of Business

  34 High Street

  Yarm

  Cleveland

  TS15 9AE

  UNITED KINGDOM

  Phone

  +441642225775

  Web

  https://www.teessidefinancial.com

• Complaints Contact

  Andrew Dennis Gunn

  34 High Street

  Yarm

  Cleveland

  TS15 9AE

  UNITED KINGDOM

  Phone

  +441642225775

• P2P Lending Advice

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

• 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 2 limitations Hide limitations

  • · 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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 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

  • · 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”.

• 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.

• Alexander Jack Gunn

  IRN AXG00530

  • 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 Feb 2022)
  • [FCA CF] Client dealing (since 15 Feb 2022)
• Andrew Dennis Gunn

  IRN ADG00015

  • 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 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (30 Aug 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 Nov 2014 to 30 Sep 2018)
  • CF30 Customer (3 Nov 2014 to 8 Dec 2019)
  • CF1 Director (3 Nov 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Nov 2014 to 8 Dec 2019)
• Barry William Strathearn

  IRN BWS01049

  • CF30 Customer (1 Sep 2017 to 31 Mar 2018)
• Calum Dearlove

  IRN CXD10336

  • [FCA CF] Functions requiring qualifications (29 Sep 2020 to 28 Mar 2025)
  • [FCA CF] Client dealing (29 Sep 2020 to 28 Mar 2025)
  • CF30 Customer (31 Jan 2019 to 8 Dec 2019)
• Matthew Gunn

  IRN MXG00294

  • [FCA CF] Client dealing (11 Nov 2022 to 19 Jul 2024)
  • [FCA CF] Functions requiring qualifications (11 Nov 2022 to 19 Jul 2024)
• Paul Thomas Pickering

  IRN PTP01014

  • CF30 Customer (3 Nov 2014 to 30 Sep 2016)
  • CF11 Money Laundering Reporting (3 Nov 2014 to 30 Sep 2016)
  • CF1 Director (3 Nov 2014 to 30 Sep 2016)

No changes recorded yet.