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

• George York

  IRN GXY00005

  • 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 12 Dec 2023)
  • [FCA CF] Client dealing (since 12 Dec 2023)
• Graham John Carter

  IRN GJC00020

  • CF21 Investment Adviser (18 Jun 2004 to 30 Sep 2005)
• James Michael McSorley-Morgan

  IRN JXM02433

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (24 Apr 2018 to 8 Dec 2019)
• James Oliver Wilcock

  IRN JOW01013

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Jan 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Jan 2026)
• Jean-paul Quertier

  IRN JXQ01049

  • SMF3 Executive Director (9 Dec 2019 to 29 Nov 2022)
  • CF1 Director (1 Jun 2015 to 8 Dec 2019)
• John Leslie Coombs

  IRN JLC01162

  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Sep 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Sep 2022)
  • SMF3 Executive Director (9 Dec 2019 to 29 Nov 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 28 Sep 2022)
  • Responsibility for MCD Intermediation (10 Oct 2016 to 18 Sep 2019)
  • CF10 Compliance Oversight (1 Jun 2015 to 8 Dec 2019)
  • CF1 Director (1 Jun 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jun 2015 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Jun 2015 to 30 Sep 2018)
• Jonathan Williams

  IRN JXW00774

  • SMF3 Executive Director (7 Nov 2022 to 21 Mar 2025)
• Lawrence Nicholas Meadows

  IRN LNM00002

  • CF30 Customer (1 Nov 2007 to 5 Nov 2010)
  • CF21 Investment Adviser (1 Jun 2004 to 31 Oct 2007)
• Maria Catherine Whiteway Mugford

  IRN MCM00026

  • CF30 Customer (15 Jul 2015 to 6 Nov 2017)
• Mark Simic

  IRN MXS05248

  • SMF3 Executive Director (since 10 Mar 2025)

No changes recorded yet.