AAF Financial Ltd

• Principal Place of Business

  82 Broadpark Road

  Livermead

  Torquay

  Devon

  TQ2 6UU

  UNITED KINGDOM

  Phone

  +447903618048

  Web

  https://www.aaffinancial.co.uk

• Complaints Contact

  82 Broadpark Road

  Livermead

  Torquay

  Devon

  TQ2 6UU

  UNITED KINGDOM

  Phone

  +447903618048

• 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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  • · 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 pension policies with a Guaranteed Annuity Rate.

• 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

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  • · 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

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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, 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

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  • · 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

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  • · 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

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  • · 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 Keen

  IRN AXK00733

  • [FCA CF] Client dealing (6 Feb 2025 to 30 Sep 2025)
  • [FCA CF] Functions requiring qualifications (6 Feb 2025 to 30 Sep 2025)
• Anthony Howard Morgan

  IRN AHM00012

  • 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] Functions requiring qualifications (since 2 Oct 2023)
  • [FCA CF] Client dealing (since 2 Oct 2023)
• Daniel Ernest Roberts

  IRN DER00013

  • 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 13 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 13 Nov 2023)
• Finin Peter Houlihan

  IRN FPH01015

  • 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 Jun 2023)
  • [FCA CF] Functions requiring qualifications (since 22 Jun 2023)
  • Responsible for Insurance Distribution (since 1 Jun 2023)
  • SMF16 Compliance Oversight (since 1 Jun 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Jun 2023)
  • SMF3 Executive Director (since 1 Jun 2023)
• Graham Mark Dudley

  IRN GMD00010

  • 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 12 Sep 2024)
  • [FCA CF] Client dealing (since 12 Sep 2024)
• John Elwyn Phillips

  IRN JEP01098

  • 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] Client dealing (since 4 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 4 Sep 2024)
• John Sands

  IRN JXS00208

  • 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 17 Oct 2024)
  • [FCA CF] Client dealing (since 17 Oct 2024)
• Kate McKay

  IRN KXR12978

  • 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] Client dealing (since 20 Aug 2024)
  • [FCA CF] Functions requiring qualifications (since 20 Aug 2024)
• Paul Barrie Uings

  IRN PXU11355

  • 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 12 Jan 2024)
  • [FCA CF] Client dealing (since 12 Jan 2024)
• Peter Cranwell

  IRN PXC00196

  • 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 12 Feb 2024)
  • [FCA CF] Client dealing (since 12 Feb 2024)

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