A & B Financial Ltd

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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
Buy-to-Let Mortgage Arranging
Investment Advice (no pensions)

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

For Customer, Regulated mortgage contract
Authorised to Operate

For Customer
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- · The firm can only agree to carry on the regulated activities specified in this Notice.
Arranges Investments

For Commercial, 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
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- · This permission is limited to debt counselling with no debt management activity
Debt Advice
Show 1 limitation Hide limitations
- · This permission is limited to debt counselling with no debt management activity
Mortgage Setup

For Customer, Regulated mortgage contract
Investment Setup

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

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

Andrew Burns
IRN AXB00194
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Functions requiring qualifications (since 25 Mar 2025)
- [FCA CF] CASS oversight function (since 9 Dec 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF1 Director (12 Apr 2016 to 8 Dec 2019)
- Responsible for Insurance Mediation (12 Apr 2016 to 30 Sep 2018)
Brian Green
IRN BXG01238
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
- [FCA CF] CASS oversight function (since 9 Dec 2020)
Ian Richard Harlock
IRN IRH00006
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
Nicola Swann
IRN NXS02175
- SMF3 Executive Director (9 Dec 2019 to 29 Oct 2025)
- CF1 Director (12 Apr 2016 to 8 Dec 2019)

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.