Advanta Direct Ltd

• Principal Place of Business

  Advanta Direct Ltd, Ailsa Court

  121 West Regent Street

  Glasgow

  Lanarkshire

  G2 2SD

  UNITED KINGDOM

  Phone

  +4403450340202

  Web

  https://advantadirect.co.uk

• Complaints Contact

  Advanta Direct Ltd, Ailsa Court

  121 West Regent Street

  Glasgow

  Lanarkshire

  G2 2SD

  UNITED KINGDOM

  Phone

  +4403450340200

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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 Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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, 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 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, 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 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.

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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, 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 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.

• Adrian James Garside

  IRN AJG01326

  • [FCA CF] Manager of certification employee (19 May 2025 to 30 Jan 2026)
• Christopher Feeney

  IRN CXF01215

  • SMF3 Executive Director (17 Jun 2022 to 21 Dec 2023)
  • Responsible for Insurance Distribution (17 Jun 2022 to 21 Dec 2023)
  • SMF16 Compliance Oversight (17 Jun 2022 to 21 Dec 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (17 Jun 2022 to 21 Dec 2023)
• Douglas James Moore

  IRN DJM00071

  • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 24 Jan 2024)
  • [FCA CF] Client dealing (1 Dec 2020 to 24 Jan 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 3 Aug 2022)
  • SMF3 Executive Director (9 Dec 2019 to 3 Aug 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Aug 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 3 Aug 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jun 2005 to 8 Dec 2019)
  • CF1 Director (1 Jun 2005 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jun 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Jun 2005 to 31 Mar 2009)
  • Responsible for Insurance Mediation (1 Jun 2005 to 30 Sep 2018)
• Gregory Seath

  IRN GXS01317

  • Responsible for Insurance Distribution (since 21 May 2024)
  • SMF3 Executive Director (since 21 Dec 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Dec 2023)
  • SMF16 Compliance Oversight (since 21 Dec 2023)
  • [FCA CF] Manager of certification employee (23 Dec 2023 to 29 May 2025)
• Kevin James D'Arcy

  IRN KXD00092

  • SMF3 Executive Director (since 12 Feb 2025)
• Mark Robert Pearson

  IRN MRP00008

  • SMF3 Executive Director (since 8 Apr 2024)
• Melissa Jayne Charles

  IRN MJC01660

  • 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 24 Jan 2024)
  • [FCA CF] Functions requiring qualifications (since 24 Jan 2024)
• Michael Jonathan Barker

  IRN MJB00054

  • [FCA CF] Manager of certification employee (since 18 Feb 2026)
• Minakshee Chauhan

  IRN MCC01113

  • [FCA CF] Manager of certification employee (since 6 Mar 2025)
• Steven James Cameron

  IRN SJC00058

  • 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 22 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 22 Mar 2024)

No changes recorded yet.