The Independent Asset Management Company

• Principal Place of Business

  Victoria House

  Main Street

  Grange-over-Sands

  Cumbria

  LA11 6DP

  UNITED KINGDOM

  Phone

  +4401539538833

  Web

  https://www.iamcompany.co.uk

• Complaints Contact

  Victoria House

  Main Street

  Grange-over-Sands

  Cumbria

  LA11 6DP

  UNITED KINGDOM

  Phone

  +4401539538833

• 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

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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.

• 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

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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.

• 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, 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.

• 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.

• Mark Tootill

  IRN MST00012

  • CF30 Customer (17 Oct 2014 to 30 Jan 2015)
• Peter Jan Bujakowski

  IRN PJB01511

  • CF1 Director (AR) (10 Sep 2012 to 5 Apr 2019)
• Philip George

  IRN PXG01335

  • CF1 Director (AR) (14 Sep 2004 to 5 Apr 2019)
• Royden Andrew Davies

  IRN RAD00029

  • CF30 Customer (1 Nov 2007 to 1 May 2009)
  • CF21 Investment Adviser (11 Jul 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (11 May 2004 to 11 Jul 2005)
• Ryan James Woodhouse

  IRN RJW01318

  • CF30 Customer (2 Jan 2013 to 21 Dec 2018)
• Stephen Ronald Whiteway

  IRN SRW00030

  • 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
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF1 Director (AR) (28 Apr 2015 to 27 Sep 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (19 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (10 Jun 2002 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (10 Jun 2002 to 31 Mar 2009)
  • CF10 Compliance Oversight (10 Jun 2002 to 8 Dec 2019)
  • CF4 Partner (10 Jun 2002 to 8 Dec 2019)
• Symon James Parkin

  IRN SJP00068

  • 11. Pension transfer specialist
  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (AR) (22 Jun 2015 to 27 Sep 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (10 Jun 2002 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (10 Jun 2002 to 8 Dec 2019)
  • CF21 Investment Adviser (10 Jun 2002 to 31 Oct 2007)

• Affinity Investment Solutions Ltd (no longer appointed)

  FRN 526950 · Appointed 1 Jul 2010 · Until 5 Aug 2011

• JWK Wealth Management Limited (no longer appointed)

  FRN 401670 · Appointed 29 Jun 2004 · Until 11 Apr 2019

• Affinity Financial Management Ltd (no longer appointed)

  FRN 219596 · Appointed 8 Oct 2002 · Until 24 Oct 2003

No changes recorded yet.