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FirmTracer aggregates publicly available data from official regulatory sources including the FCA Financial Services Register and Companies House. All data links directly to its original official source. This information is provided for research and due diligence purposes only and does not constitute legal or financial advice. FirmTracer is not affiliated with the Financial Conduct Authority or Companies House.

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Financial Management

FRN: 149408•authorised•Profile Score
Company Status
N/A
Registration No.
N/A
Incorporated
N/A
Registered Address
Not Available

Regulatory Permissions

No permissions listed.

Registered Individuals

No individuals listed.

Enforcement History (31)

DateAction TitleTypeReference
11/03/2024Final Notice 2024: Inspirational Financial Management Ltd (in administration)financial penaltySourcePDF
22/02/2023First Supervisory Notice 2023: Estate Capital Financial Management LimitedotherSourcePDF
09/07/2020Final Notice 2020: Northwood Financial Management (trading as Stephen Jones)otherSourcePDF
27/06/2016Final notice 2016: Park Grove Financial Management LimitedcancellationSourcePDF
12/02/2015Final Notice 2015: LAFM Limited (formerly known as Lloyd Anderson Financial Management Limited)cancellationSourcePDF
29/05/2014FCA Final Notice 2014: Mark Ian Warner trading as Advanced Financial ManagementcancellationSourcePDF
17/04/2014FCA Second Supervisory Notice 2014: Mark Ian Warner trading as Advanced Financial ManagementotherSourcePDF
21/03/2014FCA First Supervisory Notice 2014: Mark Ian Warner trading as Advanced Financial ManagementotherSourcePDF
18/10/2013FCA Final Notice 2013: Bentley-Leek Financial Management LimitedotherSourcePDF
26/03/2013FSA Final Notice 2013: Pave Financial Management LtdotherSourcePDF
22/03/2013FSA Final Notice 2013: Pave Financial Management LtdotherSourcePDF
08/03/2013FSA Final Notice 2013: Peter Lea trading as Peter Lea Financial ManagementotherSourcePDF
02/10/2012FSA Final Notice 2012: Martin Edward RigneyTopps Rogers Financial ManagementotherSourcePDF
11/06/2012FSA Final Notice 2012: Wood Financial Management LimitedotherSourcePDF
04/04/2012FSA Supervisory Notice 2012: Wood Financial Management LimitedotherSourcePDF
13/02/2012FSA Final Notice 2012: Topps Rogers Financial ManagementotherSourcePDF
16/11/2011FSA Decision Notice 2011: Martin Edward Rigney Topps Rogers Financial ManagementotherSourcePDF
03/11/2011FSA Decision Notice 2011: Pave Financial Management LimitedotherSourcePDF
06/10/2011FSA Supervisory Notice 2011: KMR Financial Management LLPotherSourcePDF
24/01/2011FSA Final Notice 2011: Perspective Financial Management LimitedotherSourcePDF
22/12/2010FSA Final Notice 2010: Hemdale Financial Management LimitedotherSourcePDF
29/09/2010FSA Supervisory Notice 2010: Hemdale Financial Management LimitedotherSourcePDF
18/08/2010FSA Final Notice 2010: PaParamjit Sohanpaul trading as Chase Symmons Financial ManagementotherSourcePDF
21/01/2010FSA Final Notice 2010: Eamon McCourt trading as McCourt Financial ManagementotherSourcePDF
01/07/2009FSA Supervisory Notice 2009: Devereux Klein Financial Management LimitedotherSourcePDF
26/01/2009FSA Final Notice 2009: Stone Financial Management LimitedotherSourcePDF
01/08/2008FSA Final Notice 2008: Greenfield Financial Management LPotherSourcePDF
11/06/2007FSA Final Notice 2007: Kilminster Financial Management LimitedotherSourcePDF
10/11/2006FSA Final Notice 2006: Castle Financial Management LimitedotherSourcePDF
01/11/2004FSA Final Notice 2004: Kensington Financial Management LimitedotherSourcePDF
01/10/2004FSA Final Notice 2004: Sesame Limited (formerly known as Kestrel Financial Management Limited)otherSourcePDF