Ace Financial Advisers Limited

Date authorised
1 April 2013
Companies House
05716225
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2 Mill House
    Carre Street
    Sleaford
    Lincolnshire
    NG34 7TW
    UNITED KINGDOM
    Phone
    +4401529306040
    Web
    https://www.aceadvisers.co.uk

  • Complaints Contact

    2 Mill House
    Carre Street
    Sleaford
    Lincolnshire
    NG34 7TW
    UNITED KINGDOM
    Phone
    +4401529306040

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 2 limitations
    • · 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, 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
    • · 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

    Show 1 limitation
    • · 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, Unit, Warrant

    Show 1 limitation
    • · 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 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

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Carmel Teresa Price

    IRN CTP01024

    • CF1 Director (7 Aug 2006 to 22 May 2017)
  • Christopher Price

    IRN CXP01392

    • 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 25 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 25 Nov 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 27 Nov 2019)
    • CF10 Compliance Oversight (27 Nov 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (27 Nov 2019 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Feb 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (7 Aug 2006 to 1 Feb 2007)
    • CF1 Director (7 Aug 2006 to 8 Dec 2019)
  • Greville Ernest Price

    IRN GEP00003

    • 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 25 Nov 2020)
    • [FCA CF] Client dealing (since 25 Nov 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (1 Oct 2018 to 6 Oct 2019)
    • CF30 Customer (12 Mar 2013 to 8 Dec 2019)
    • CF1 Director (7 Aug 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (7 Aug 2006 to 6 Oct 2019)
    • CF11 Money Laundering Reporting (7 Aug 2006 to 6 Oct 2019)
    • CF21 Investment Adviser (7 Aug 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (7 Aug 2006 to 31 Mar 2009)
    • Responsible for Insurance Mediation (7 Aug 2006 to 30 Sep 2018)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.