ALLIED FINANCIAL SERVICES LIMITED

Date authorised
1 April 2013
Companies House
05245856
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

What this firm is allowed to do

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

  • 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
    • · 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, 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.

  • 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

    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.

  • Debt Advice

    Show 1 limitation
    • · 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

    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.

  • Mark Andrew Hilton

    IRN MAH00012

    • 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 1 Feb 2023)
    • [FCA CF] Functions requiring qualifications (since 1 Feb 2023)
  • Martin Trevor Stewart

    IRN MTS00004

    • 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 1 Feb 2023)
    • [FCA CF] Client dealing (since 1 Feb 2023)
  • Nicholas Henry Wylie

    IRN NHW00004

    • [FCA CF] Client dealing (27 Nov 2020 to 31 Dec 2023)
    • [FCA CF] Functions requiring qualifications (27 Nov 2020 to 31 Dec 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Nov 2023)
    • SMF3 Executive Director (9 Dec 2019 to 15 Jun 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 23 Nov 2023)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 15 Jun 2023)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2006 to 31 Oct 2007)
    • CF1 Director (1 Dec 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2006 to 8 Dec 2019)
  • Oliver Thomas Marshall

    IRN OXM00067

    • 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 27 Jun 2022)
    • [FCA CF] Functions requiring qualifications (since 27 Jun 2022)
  • Sophia Elizabeth Harris

    IRN SEH01122

    • CF30 Customer (22 Jan 2015 to 5 Nov 2019)
  • Timothy Kearsley

    IRN TXK00025

    • CF30 Customer (1 Nov 2007 to 29 Apr 2011)
    • CF22 Investment Adviser (Trainee) (4 Oct 2007 to 31 Oct 2007)
  • Timothy Robert Freedlander

    IRN TRF01028

    • [FCA CF] Functions requiring qualifications (1 Apr 2025 to 30 Jun 2025)

Recent activity

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

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