3R Financial Services Ltd

• Principal Place of Business

  Newark Beacon Innovation Centre, Cafferata Way

  Newark

  NG24 2TN

  UNITED KINGDOM

  Phone

  +441636893155

  Web

  https://www.3rfinancialservices.com

• Complaints Contact

  Newark Beacon Innovation Centre, Cafferata Way

  Newark

  NG24 2TN

  UNITED KINGDOM

  Phone

  +441636893155

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · 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, Funeral plan contract, 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling which is provided in connection with investment advice.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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, 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.

• Andrew Mark Michael Gannon

  IRN AMG00028

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Aug 2020)
  • CF30 Customer (16 May 2018 to 8 Dec 2019)
• Madelene Rebecca Turner

  IRN MRT00014

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Jan 2022)
  • CF30 Customer (10 Sep 2019 to 8 Dec 2019)
• Mark Doughty

  IRN MXD33382

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Mar 2021)
• Neil Michael Gilbourne

  IRN NMG01031

  • 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)
  • 11. Pension transfer specialist
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF1 Director (9 Jan 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 Jan 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (9 Jan 2014 to 8 Dec 2019)
  • CF30 Customer (9 Jan 2014 to 8 Dec 2019)
  • Responsible for Insurance Mediation (9 Jan 2014 to 30 Sep 2018)
• Nicola Flanagan

  IRN NXF00054

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Feb 2022)
• Wayne Christopher Evison

  IRN WCE01002

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (25 Feb 2021 to 7 Feb 2023)
  • CF30 Customer (22 May 2017 to 8 Dec 2019)

No changes recorded yet.