Stocks Financial Management Ltd

Reference number: 1030136

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Authorised by the FCA

This firm is on the FCA register and authorised to carry out regulated activities.

Website, phone number and address

Compare these against whatever you were given. Scammers clone real firm names and reference numbers but use their own phone number and website, so a detail that does not match the register is the clearest warning sign there is.

In the full report: 3 background checks

  • When stocksfm.co.uk first appeared online, and whether it can receive email
  • What kind of line 07791 121621 is
  • Who else gives the postcode LE15 9PY
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FCA permissions and consumer protection

  • Give regulated advice FSCS may apply
    A claim for unsuitable advice is itself FSCS-protected, up to the limit that applies to the product you were advised on.
  • Manage or trade investments FSCS may apply
    Eligible investment and pension claims are typically FSCS-protected up to £85,000 per person, depending on the product and your circumstances.
  • Advise on or arrange mortgages FSCS may apply
    Mortgage advice and arranging may be FSCS-covered, up to the limit that applies.
  • Lend or arrange credit No FSCS cover
    Consumer credit is not covered by the FSCS, so there is no compensation scheme if the firm fails.
  • Complaints Ombudsman, free
    You can refer a complaint about this firm to the Financial Ombudsman Service for free, whichever activity it relates to.
Show FCA detail (13 permissions)
  • Acting as a CBTL advisor
  • Acting as a CBTL Advisor
  • Acting as a CBTL arranger
  • Acting as a CBTL Arranger
  • Advising on investments (except on Pension Transfers and Pension Opt Outs)
  • Advising on Pension Transfers and Pension Opt Outs
  • Advising on regulated mortgage contracts
  • Arranging (bringing about) deals in investments
  • Arranging (bringing about) regulated mortgage contracts
  • Credit Broking
  • Debt-counselling
  • Making arrangements with a view to regulated mortgage contracts
  • Making arrangements with a view to transactions in investments

FCA disciplinary action and complaints

No FCA disciplinary action.

The Financial Ombudsman Service only publishes complaint figures for firms with 30 or more new complaints in six months, so there are none here for this firm.

Companies House record

The company behind the firm: its status, age, registered office and directors.

Company number
15924688
Company status
Active
Company type
Private limited company
Incorporated
29 August 2024 (2 years old)
Registered office
35 High Street East, Uppingham, Rutland, LE15 9PY, England
Nature of business
  • Financial management (SIC 70221)

Directors and company secretaries

Name Role Born Appointed Other companies
James Henry Courtney Smith Director Jun 1990 29 Aug 2024 1 other company
Jody Ellen Nicholls Secretary Not published 29 Aug 2024 –

Other companies run by its director

A firm is run by people, and their other companies are their track record: what they built, what closed, and anything that failed. It is the check most people never think to make.

other company
1
still active
1

In the full report: all 1 company, named

  • What each company does, and whether it is still trading
  • Which of its director sits on each board, and since when
  • Any that went into liquidation or administration
  • All 2 people who have ever been directors, with their dates
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Filed accounts and finances

Year to 31 August 2025Dormant company accountsNot audited

Net assets

£100

No earlier figure to compare

Cash at bank

£100

No earlier figure to compare

These accounts were filed as dormant: the company reported no significant trading in the period.

About these figures
Turnover
Money taken from sales in the year, before any costs.
Profit before tax
What was left after the year’s costs, before corporation tax. A minus figure is a loss.
Net assets, or total equity
Everything the company owns minus everything it owes. A minus figure means it owes more than it owns.
Total assets and total liabilities
Everything the company owns, and everything it owes, on the last day of the year. The gap between them is its net assets.
Cash at bank
Money in the company’s accounts on the last day of the year.
Owed within a year, owed after a year
Debts and bills due in the next twelve months, and those due later.

Accounts filed at Companies House for company 15924688. Figures are exactly as filed; nothing is estimated.

Key dates in its history

Stocks Financial Management’s history from the FCA register and Companies House, newest first.

Key events (8) All events (13)

2026

21 April 2026

  • James Henry Courtney Smith took control (75–100% of shares)

Companies House

5 January 2026

  • James Henry Courtney Smith gave up control
  • James Henry Courtney Smith took control (75–100% of shares)
  • Jody Ellen Nicholls gave up control

Companies House

2025

7 November 2025

  • Regulated by the FCA from this date
  • Became authorised by the FCA

FCA register

2024

29 August 2024

  • Incorporated at Companies House
  • Jody Ellen Nicholls took control (75–100% of shares)

Companies House

In the full report: all 13 events

  • All 13 events in its history (8 shown here)
  • Every director appointment and resignation: 3
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Firms connected to Stocks Financial Management

Other FCA-listed firms that share a director, phone number or address with Stocks Financial Management. A link shows who the firm is tied to, not whether either can be trusted.

connected firm
1
share its postcode
1

In the full report: the connected firm, named

  • How it is linked: the same postcode (1)
  • Who links it to this firm: the named directors, with dates
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Firms like Stocks Financial Management

Other firms of the same type (financial adviser), nearest first.

In Oakham

Financial Tracking & Advice LimitedOakhamAuthorisedIndaba Wealth Management LimitedOakhamAuthorisedJames & James Financial Advisers LimitedOakhamAuthorisedCalver Wealth ManagementOakhamAppointed representativeConnolly Financial Planning LtdOakhamAppointed representativeEvimero LimitedOakhamAppointed representative

Firms are listed by type and location, best known first. Being listed is not a recommendation: check any firm before you deal with it.

Get the full report on Stocks Financial Management

Everything on this page, plus everything locked above, in one dated PDF you can keep, file or send on.

  • 1 other company its directors have run, named
  • 3 background checks on its contact details
  • All 13 events in its history
  • 1 connected firm, named, and who links them

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Frequently asked questions about this firm

Is Stocks Financial Management Ltd FCA authorised?
Yes, Stocks Financial Management Ltd (FRN 1030136) is authorised by the FCA to carry out regulated activities. It has held its current authorisation since November 2025 and works as a financial adviser. The FCA has placed no limits on its permissions.
What is Stocks Financial Management’s phone number and website?
The FCA register lists the phone number 07791 121621 and the website stocksfm.co.uk for Stocks Financial Management. If you were given different contact details, use these to check with the firm before going any further.
Is Stocks Financial Management a scam or clone?
Stocks Financial Management is a genuine FCA-listed firm, and the FCA has published no warnings about fake versions of it. Scammers do copy real firms, though, so check that any contact details you were given match the ones on the register.
Is my money safe with Stocks Financial Management?
Its FCA permissions do not allow it to hold or control client money. It depends on the product, but eligible claims may be protected by the FSCS. You can also refer complaints about Stocks Financial Management to the Financial Ombudsman Service, free of charge.
Who owns Stocks Financial Management?
Companies House lists one person with significant control of Stocks Financial Management: Mr James Henry Courtney Smith (75–100% of shares). Before that, it was controlled by Mrs Jody Ellen Nicholls.
Who runs Stocks Financial Management?
Companies House lists one director of Stocks Financial Management: James Henry Courtney Smith.
How long has Stocks Financial Management been in business?
The company was formed on 29 August 2024, and has held its current FCA authorisation since November 2025.
What do Stocks Financial Management’s latest accounts show?
Its latest accounts, to 31 August 2025, show net assets of £100 (no earlier figure to compare) and cash at bank of £100 (no earlier figure to compare).

Sources and links

The full report on Stocks Financial Management Ltd

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