Annandale Financial Services LLP

• Principal Place of Business

  62 - 64 Buccleuch Street

  Dumfries

  Dumfriesshire

  DG1 2AA

  UNITED KINGDOM

  Phone

  +4401387267523

  Web

  https://www.annandalefinancial.co.uk

• Complaints Contact

  62 - 64 Buccleuch Street

  Dumfries

  Dumfriesshire

  DG1 2AA

  UNITED KINGDOM

  Phone

  +4401387267523

• Buy-to-Let Mortgage Advice

• 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 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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

• Equity Release Arranging

  For Customer, Home reversion plans

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Credit Score Services

  Show 1 limitation Hide limitations

  • · This permission is limited to not carrying out credit repair services

• Fiona Elizabeth Gallacher

  IRN FEG00001

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2021)
  • CF30 Customer (17 Dec 2012 to 8 Dec 2019)
• Graeme Hugh Reid

  IRN GHR00001

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Manager of certification employee (since 9 Dec 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF4 Partner (17 Dec 2012 to 8 Dec 2019)
  • CF30 Customer (17 Dec 2012 to 8 Dec 2019)
• John Alexander Crocket Coutts

  IRN JAC00006

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Oct 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 31 Oct 2020)
  • SMF27 Partner (9 Dec 2019 to 31 Jan 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Oct 2020)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 31 Oct 2020)
  • CF30 Customer (3 Apr 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (17 Dec 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (17 Dec 2012 to 8 Dec 2019)
  • CF4 Partner (17 Dec 2012 to 8 Dec 2019)
  • Responsible for Insurance Mediation (17 Dec 2012 to 30 Sep 2018)
• Michelle Bell

  IRN MXB00631

  • [FCA CF] Functions requiring qualifications (3 May 2021 to 31 Oct 2024)
  • [FCA CF] Client dealing (3 May 2021 to 31 Oct 2024)
• Neil John Coutts

  IRN NJC01223

  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Manager of certification employee (since 9 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Nov 2020)
  • SMF16 Compliance Oversight (since 9 Nov 2020)
  • Responsible for Insurance Distribution (since 9 Nov 2020)
  • Responsibility for MCD Intermediation (since 9 Nov 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF4 Partner (21 Aug 2019 to 8 Dec 2019)
  • CF30 Customer (17 Dec 2012 to 8 Dec 2019)
• Roland Proudlock

  IRN RXP00015

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (17 Dec 2012 to 8 Dec 2019)
  • CF4 Partner (17 Dec 2012 to 8 Dec 2019)

No changes recorded yet.