The Carruth Financial Group Limited

Date authorised
1 April 2013
Companies House
SC108837
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Carruth Financial Group
    2/1 Cadell House
    27 Waterloo Street
    Glasgow
    Glasgow City
    G2 6BZ
    UNITED KINGDOM
    Phone
    +4401414010430
    Web
    https://www.cfgfinancialadvisors.co.uk

  • Complaints Contact

    The Carruth Financial Group
    2/1 Cadell House
    27 Waterloo Street
    Glasgow
    Glasgow City
    G2 6BZ
    UNITED KINGDOM
    Phone
    +441414010430

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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
    • · 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, 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.

  • 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.

  • 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.

Approved individuals

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

  • Anthony Stephen Patterson

    IRN ASP00018

    • 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)
    • CF1 Director (AR) (since 6 Sep 2024)
    • CF30 Customer (since 6 Sep 2024)
    • Appointed representative dealing with clients for which they require qualification (since 22 May 2024)
    • [FCA CF] Client dealing (since 12 May 2021)
    • [FCA CF] Functions requiring qualifications (since 12 May 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Feb 2021)
    • SMF16 Compliance Oversight (9 Dec 2019 to 3 Feb 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (20 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
  • David Trenner

    IRN DXT00118

    • CF30 Customer (1 Nov 2007 to 7 Apr 2017)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Donald Stirling Matheson

    IRN DSM00034

    • CF21 Investment Adviser (1 Dec 2001 to 1 Jul 2006)
  • Karen Reid

    IRN KXM01558

    • 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 12 May 2021)
    • [FCA CF] Client dealing (since 12 May 2021)
    • SMF16 Compliance Oversight (since 2 Mar 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Mar 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (AR) (since 30 Oct 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (6 Dec 2019 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (22 Jun 2007 to 31 Oct 2007)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.