Ainsworths Financial Services Limited

Date authorised
1 April 2013
Companies House
04000799
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Charter House
    Stansfield Street
    Nelson
    Lancashire
    BB9 9XY
    UNITED KINGDOM
    Phone
    +4401282695111
    Web
    https://www.afsl.info

  • Complaints Contact

    Charter House
    Stansfield Street
    Nelson
    Lancashire
    BB9 9XY
    UNITED KINGDOM
    Phone
    +4401282695111

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 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 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, 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.

  • Hitesh Patel

    IRN HXP01139

    • CF30 Customer (13 Oct 2008 to 20 Dec 2010)
  • Iain David Crawford

    IRN IDC00012

    • CF30 Customer (1 Nov 2007 to 8 Nov 2013)
    • Responsible for Insurance Mediation (28 Feb 2005 to 3 Sep 2013)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 10 Jan 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 1 Oct 2013)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 18 Nov 2013)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Ian Anthony Duffy

    IRN IAD01017

    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Oct 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Oct 2013 to 30 Sep 2018)
    • CF1 Director (1 Oct 2013 to 8 Dec 2019)
    • CF30 Customer (9 Sep 2011 to 8 Dec 2019)
  • Ian Martin Walter Dugmore

    IRN IMD00013

    • SMF9 Chair of the Governing Body (9 Dec 2019 to 31 Jan 2023)
    • CF2 Non Executive Director (17 May 2005 to 8 Dec 2019)
  • Ian Peter Atkinson

    IRN IPA00002

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2021)
    • CF30 Customer (18 Mar 2013 to 8 Dec 2019)
    • CF21 Investment Adviser (9 Jan 2007 to 31 Oct 2007)
  • John Howard Dixon

    IRN JHD00010

    • CF30 Customer (9 Apr 2009 to 12 Oct 2012)
  • Jonathan James Roger Stones

    IRN JJS00020

    • CF30 Customer (2 Apr 2012 to 28 Dec 2012)
  • Keith Armstrong

    IRN KXA00040

    • CF30 Customer (1 Nov 2007 to 16 Nov 2012)
    • CF21 Investment Adviser (27 Sep 2007 to 31 Oct 2007)
  • Keith David Broadbent

    IRN KDB00003

    • CF30 Customer (5 Mar 2012 to 21 Dec 2012)
  • Kevin Duckworth

    IRN KGD00004

    • CF1 Director (AR) (25 Apr 2008 to 23 Dec 2011)
    • CF30 Customer (1 Nov 2007 to 23 Dec 2011)
    • CF21 Investment Adviser (10 Jan 2005 to 31 Oct 2007)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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