Alka Financial Services Limited

Date authorised
1 April 2013
Companies House
05134995
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    799 Harrow Road
    Wembley
    Middlesex
    HA0 2LR
    UNITED KINGDOM
    Phone
    +4402089045088
    Web
    https://www.alka.co.uk

  • Complaints Contact

    799 Harrow Road
    Wembley
    Middlesex
    HA0 2LR
    UNITED KINGDOM
    Phone
    +4402089045088
    Web
    https://www.alka.co.uk

What this firm is allowed to do

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

  • P2P Lending Advice

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

  • Investment Advice (no pensions)

    For 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.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For 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 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

Approved individuals

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

  • Evan Veronica Pilgrim

    IRN EVP00002

    • CF30 Customer (20 Nov 2018 to 8 Dec 2019)
  • Kailesh Vishnubhai Patel

    IRN KVP00003

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Jul 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (25 Jul 2006 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (25 Jul 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (13 Jan 2005 to 31 Oct 2007)
    • CF1 Director (13 Jan 2005 to 8 Dec 2019)
  • Neil Morjaria

    IRN NXM01822

    • 14. Managing investments
    • 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
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 17. Administrative functions in relation to managing investments
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (13 Nov 2014 to 8 Dec 2019)
  • Paul Edward Thomas

    IRN PET01027

    • CF30 Customer (28 Dec 2012 to 8 Dec 2019)
  • Rajeev Parekh

    IRN RXP02336

    • CF30 Customer (21 Dec 2016 to 18 May 2018)
  • Sanji Joshi

    IRN SXJ00024

    • SMF3 Executive Director (9 Dec 2019 to 26 Oct 2023)
    • CF1 Director (13 Jan 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (13 Jan 2005 to 17 Jul 2006)
    • CF11 Money Laundering Reporting (13 Jan 2005 to 17 Jul 2006)
    • CF21 Investment Adviser (13 Jan 2005 to 17 Jul 2006)
    • CF8 Apportionment and Oversight (13 Jan 2005 to 17 Jul 2006)

Recent activity

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

No changes recorded yet.