UMS ADVISORY LIMITED

Watch for changes

Addresses

The contact details this firm has registered with the FCA.

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

Buy-to-Let Mortgage Advice
P2P Lending Advice

For Retail (Non-Investment Insurance)
Investment Advice (no pensions)

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

For Customer, Regulated mortgage contract
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 Retail (Non-Investment Insurance), Non-investment insurance contracts
Mortgage Arranging

For Customer, Regulated mortgage contract
Buy-to-Let Start Date
Buy-to-Let Status
Credit Brokering
Mortgage Setup

For Customer, Regulated mortgage contract
Investment Setup

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

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

Juliet Augustine
IRN JXA01502
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF1 Director (3 Jul 2009 to 8 Dec 2019)
- CF8 Apportionment and Oversight (3 Jul 2009 to 8 Dec 2019)
- Responsible for Insurance Mediation (3 Jul 2009 to 30 Sep 2018)
Ribi Sam Varghese
IRN RSV01013
- SMF1 Chief Executive (22 Feb 2021 to 22 Sep 2022)

Smaller firms operating under this firm's FCA authorisation.

Insure Life Limited (no longer appointed)
FRN 591725 · Appointed 21 Nov 2012 · Until 22 Jun 2017

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.