AFS Limited

• Principal Place of Business

  41 Clarence Road

  Chesterfield

  Derbyshire

  S40 1LH

  UNITED KINGDOM

  Phone

  +4401246293858

  Web

  https://www.afs-online.co.uk

• Complaints Contact

  41 Clarence Road

  Chesterfield

  Derbyshire

  S40 1LH

  UNITED KINGDOM

  Phone

  +4401246293858

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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, 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.

• 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• 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”.
  • · This permission is limited to debt counselling which is provided in connection with investment advice and/or home finance activities, including buy to let mortgages and second charge mortgages

• Consumer Loans

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  • · Limited to lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement
  • · Limited to lending that is in connection with the repayment of fees relating to the provision of professional services

• Loan Servicing

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  • · Limited to lending that is in connection with the repayment of fees relating to the provision of professional services
  • · Limited to lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Credit Score Services

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  • · This permission is limited to not carrying out credit repair services

• Andrew McDaid

  IRN AXM04950

  • CF1 Director (AR) (2 Jan 2018 to 31 Mar 2020)
• Christopher Joseph Dey

  IRN CJD00060

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • Responsibility for MCD Intermediation (since 5 Jan 2024)
  • Responsible for Insurance Distribution (since 5 Jan 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Jan 2024)
  • SMF3 Executive Director (since 5 Jan 2024)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 26 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 19 Nov 2020)
  • CF21 Investment Adviser (28 Apr 2003 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Apr 2003)
• David Alan Harris

  IRN DAH00084

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Jul 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Jan 2024)
  • SMF3 Executive Director (9 Dec 2019 to 5 Jan 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 5 Jul 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 5 Jan 2024)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 5 Jan 2024)
  • CF30 Customer (1 Nov 2007 to 19 Nov 2020)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (AR) (1 Dec 2001 to 1 May 2020)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• David Christopher Brown

  IRN DCB01084

  • CF1 Director (AR) (18 Dec 2001 to 31 Mar 2008)
• Dusanka Elizabeth Barrowclough

  IRN DEB01046

  • CF1 Director (AR) (28 Dec 2001 to 1 Aug 2014)
• John Alan Thompson

  IRN JAT01088

  • CF1 Director (AR) (11 Dec 2001 to 16 Nov 2020)
• John Charles Palethorpe

  IRN JCP01091

  • CF1 Director (AR) (1 Dec 2001 to 30 Apr 2004)
• John David Mills

  IRN JDM01112

  • CF1 Director (AR) (3 Jan 2002 to 31 Mar 2008)
• John Dunseath

  IRN JMD01154

  • CF21 Investment Adviser (28 Apr 2003 to 3 Jan 2004)
  • CF22 Investment Adviser (Trainee) (22 Apr 2002 to 28 Apr 2003)
• Joseph William Dey

  IRN JWD00026

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 1 Sep 2007)

• MDT Financial Services Limited

  FRN 207749 · Appointed 14 Dec 2001

• Victoria Court Financial Services Limited (no longer appointed)

  FRN 207748 · Appointed 14 Dec 2001 · Until 1 Aug 2014

• Mitchells Financial Advisers Limited (no longer appointed)

  FRN 207726 · Appointed 13 Dec 2001 · Until 1 Apr 2020

No changes recorded yet.