Alan Ellis Financial Services Limited

• Principal Place of Business

  1 Eweford Cottages

  Dunbar

  EH42 1RF

  UNITED KINGDOM

  Phone

  +441620282280

  Web

  https://www.aefsl.co.uk

• Complaints Contact

  1 Eweford Cottages

  Dunbar

  EH42 1RF

  UNITED KINGDOM

  Phone

  +441620282280

• 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: 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 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.

• Alan Ellis

  IRN AXE00011

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Jul 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 2 Jul 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 2 Jul 2024)
  • Responsible for Insurance Mediation (3 Apr 2018 to 30 Sep 2018)
  • CF1 Director (3 Apr 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Apr 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Apr 2018 to 8 Dec 2019)
  • CF30 Customer (3 Apr 2018 to 8 Dec 2019)
• Ashley Mackie

  IRN AXO15418

  • 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 5 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 5 Apr 2022)
  • CF30 Customer (28 May 2019 to 8 Dec 2019)
• Elizabeth Grimwood

  IRN EXG12663

  • 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)
  • Responsible for Insurance Distribution (since 22 Jan 2025)
  • SMF16 Compliance Oversight (since 2 Jul 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 5 Apr 2022)
  • [FCA CF] Client dealing (since 5 Apr 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
  • CF1 Director (20 May 2019 to 8 Dec 2019)

No changes recorded yet.