Alpha Independent Financial Solutions Limited

• Principal Place of Business

  9 Cottam Drive

  Barlborough

  Chesterfield

  Derbyshire

  S43 4WS

  UNITED KINGDOM

  Phone

  +447779101488

  Web

  https://www.alphaifs.co.uk

• Complaints Contact

  9 Cottam Drive

  Barlborough

  Chesterfield

  S43 4WS

  UNITED KINGDOM

  Phone

  +447779101488

• P2P Lending Advice

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

• 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

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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.

• 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.

• Gurinder Kaur Kooner

  IRN GXK01105

  • 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 19 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 19 Nov 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [PRA CF] Key function holder (19 Nov 2020 to 19 Nov 2020)
  • [FCA CF] Benchmark submission and administration (19 Nov 2020 to 19 Nov 2020)
  • [FCA CF] CASS oversight function (19 Nov 2020 to 19 Nov 2020)
  • [FCA CF] Manager of certification employee (19 Nov 2020 to 19 Nov 2020)
  • [FCA CF] Significant management (19 Nov 2020 to 19 Nov 2020)
  • CF10 Compliance Oversight (5 Jan 2015 to 8 Dec 2019)
  • CF30 Customer (5 Jan 2015 to 8 Dec 2019)
  • Responsible for Insurance Mediation (5 Jan 2015 to 30 Sep 2018)
  • CF1 Director (5 Jan 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (5 Jan 2015 to 8 Dec 2019)
• Peter Herbert Cassar

  IRN PHC00014

  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Significant management (19 Nov 2020 to 19 Nov 2020)
  • [PRA CF] Key function holder (19 Nov 2020 to 19 Nov 2020)
  • [FCA CF] Benchmark submission and administration (19 Nov 2020 to 19 Nov 2020)
  • [FCA CF] Client dealing (19 Nov 2020 to 31 Dec 2020)
  • [FCA CF] CASS oversight function (19 Nov 2020 to 19 Nov 2020)
  • CF1 Director (5 Jan 2015 to 8 Dec 2019)
  • CF30 Customer (5 Jan 2015 to 8 Dec 2019)

No changes recorded yet.