Aquila Financial Management Limited

• Principal Place of Business

  Aquila Financial Management Ltd

  The Summit

  Pynes Hill

  Exeter

  Devon

  EX2 5WS

  UNITED KINGDOM

  Phone

  +4401392411159

  Web

  http://www.aquilafm.co.uk

• Complaints Contact

  Aquila Financial Management Ltd

  The Summit

  Pynes Hill

  Exeter

  Devon

  EX2 5WS

  UNITED KINGDOM

  Phone

  +4401392411159

• 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, 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, 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts, Structured Deposits

• 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, 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

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

• Adrian Bayley Geoffrey Hemmings

  IRN ABH01028

  • SMF3 Executive Director (since 25 Oct 2022)
• Adrian Ford

  IRN AXF00037

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Jun 2004 to 31 Oct 2007)
• Barbara Mary Chettle

  IRN BXC00005

  • CF21 Investment Adviser (1 Dec 2001 to 3 Nov 2004)
• Christopher Bowker

  IRN CXB02239

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Jun 2015 to 8 Dec 2019)
• Christopher Bruce May

  IRN CBM00015

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2024)
  • SMF3 Executive Director (9 Dec 2019 to 30 Nov 2023)
  • CF1 Director (1 Jun 2015 to 8 Dec 2019)
  • CF30 Customer (3 Oct 2014 to 8 Dec 2019)
• Christopher John Richard Lee

  IRN CJL00054

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2021)
  • CF30 Customer (2 Jan 2013 to 8 Dec 2019)
• Christopher Mark Messenger

  IRN CXM16883

  • [FCA CF] Functions requiring qualifications (17 Oct 2022 to 13 Sep 2023)
  • [FCA CF] Client dealing (17 Oct 2022 to 13 Sep 2023)
• Clive Terence Swiggs

  IRN CTS00003

  • CF30 Customer (1 Nov 2007 to 3 Apr 2012)
  • CF21 Investment Adviser (1 Jun 2004 to 31 Oct 2007)
• Diane Patrice Milton

  IRN DPM00003

  • CF30 Customer (1 Nov 2007 to 4 Jun 2015)
  • CF24 Pension Transfer Specialist (16 Aug 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Jun 2004 to 31 Oct 2007)
• Elizabeth Louise Nuttall

  IRN ELH01026

  • 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 7 Jan 2026)
  • [FCA CF] Client dealing (since 7 Jan 2026)

No changes recorded yet.