Xentum Limited

• Principal Place of Business

  Xentum Ltd, 600 Lakeside Drive

  Warrington

  Warrington

  WA1 1RW

  UNITED KINGDOM

  Phone

  +441925398831

  Web

  https://xentum.co.uk

• Complaints Contact

  Mosswood

  Seven Sisters Lane

  Toft

  Knutsford

  Cheshire

  WA16 8TH

  UNITED KINGDOM

  Phone

  +441925398831

• 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

  • · 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.
  • · 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 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.

• 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.

• Adam Carolan

  IRN AXC02410

  • [FCA CF] Functions requiring qualifications (25 Feb 2020 to 30 May 2022)
  • [FCA CF] Client dealing (25 Feb 2020 to 30 May 2022)
  • SMF3 Executive Director (25 Feb 2020 to 26 Feb 2021)
  • Responsible for Insurance Distribution (25 Feb 2020 to 26 Feb 2021)
• Dominic John Baldwin

  IRN DJB00018

  • SMF3 Executive Director (since 25 Feb 2020)
• Edward James Stubbs

  IRN EXS07485

  • 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 22 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 22 Feb 2020)
• Faye McDonald

  IRN FXM00236

  • [FCA CF] Client dealing (9 Sep 2024 to 17 Apr 2025)
  • [FCA CF] Functions requiring qualifications (9 Sep 2024 to 17 Apr 2025)
• James Matthew Spencer

  IRN JXS33454

  • SMF3 Executive Director (since 9 Jun 2021)
  • SMF16 Compliance Oversight (since 25 Feb 2020)
  • [FCA CF] Manager of certification employee (since 25 Feb 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Feb 2020)
  • [FCA CF] Benchmark submission and administration (25 Feb 2020 to 6 Oct 2023)
• Jamie Thomas Proctor

  IRN JXP01088

  • [FCA CF] Client dealing (3 Mar 2025 to 31 Jul 2025)
  • [FCA CF] Functions requiring qualifications (3 Mar 2025 to 31 Aug 2025)
• Jonathan Mark Lord

  IRN JML01239

  • SMF3 Executive Director (9 Jun 2021 to 6 Mar 2024)
  • [FCA CF] Manager of certification employee (20 May 2021 to 6 Mar 2024)
  • [FCA CF] Functions requiring qualifications (25 Feb 2020 to 6 Mar 2024)
  • [FCA CF] Client dealing (25 Feb 2020 to 6 Mar 2024)
• Joshua Matthew Jones

  IRN JMJ01100

  • [FCA CF] Functions requiring qualifications (21 Sep 2023 to 8 Mar 2024)
  • [FCA CF] Client dealing (1 May 2023 to 8 Mar 2024)
• Laura Clark

  IRN LXC00160

  • [FCA CF] Client dealing (25 Feb 2020 to 27 Nov 2023)
  • [FCA CF] Functions requiring qualifications (25 Feb 2020 to 27 Nov 2023)
• Ommarabab Shah

  IRN OXR00027

  • [FCA CF] Client dealing (14 Apr 2021 to 30 May 2022)

No changes recorded yet.