TU Financial Management Services Limited

Date authorised
1 April 2013
Companies House
06555903
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Congress House
    Great Russell Street
    London
    WC1B 3LQ
    UNITED KINGDOM
    Phone
    +442076377116
    Web
    https://www.tufm.co.uk

  • Complaints Contact

    Congress House
    Great Russell Street
    London
    WC1B 3LQ
    UNITED KINGDOM
    Phone
    +442076377116

What this firm is allowed to do

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

  • Investment Advice (no pensions)

    For Professional, Debenture, Government and public security, Share, Unit

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Professional, Debenture, Government and public security, Share, Unit

  • Investment Setup

    For Professional, Debenture, Government and public security, Share, Unit

Approved individuals

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

  • Margaret Theresa Prosser

    IRN MTP01019

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • CF2 Non Executive Director (28 Apr 2009 to 8 Dec 2019)
  • Marion Colverd

    IRN MXC01303

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF10 Compliance Oversight (22 Oct 2011 to 6 Dec 2019)
    • CF11 Money Laundering Reporting (22 Oct 2011 to 8 Dec 2019)
    • CF30 Customer (28 Apr 2009 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (28 Apr 2009 to 8 Dec 2019)
    • CF1 Director (28 Apr 2009 to 8 Dec 2019)
  • Mark Andrew Lawson

    IRN MAL01143

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (6 Dec 2019 to 8 Dec 2019)
    • CF2 Non Executive Director (28 Apr 2009 to 8 Dec 2019)
  • Mark Ralph Cornwall-Jones

    IRN MRC01070

    • CF2 Non Executive Director (28 Apr 2009 to 21 Oct 2011)
  • Nicholas Alexander Walker

    IRN NXW00301

    • Director of firm who is not a certification employee or a SMF manager (since 13 Oct 2023)
  • Paul Thomas Noon

    IRN PFN01005

    • SMF9 Chair of the Governing Body (since 3 Apr 2023)
    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 3 Apr 2023)
    • CF2 Non Executive Director (1 Jul 2013 to 8 Dec 2019)
  • Warren Kenny

    IRN WXK00028

    • Director of firm who is not a certification employee or a SMF manager (since 13 Dec 2019)

Recent activity

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

No changes recorded yet.