ASHMORE FINANCIAL SERVICES LTD

Date authorised
1 April 2013
Companies House
05876991
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    92 Upper Wortley Road
    Rotherham
    South Yorkshire
    S61 2AD
    UNITED KINGDOM
    Phone
    +441709740860

  • Complaints Contact

    92 Upper Wortley Road
    Rotherham
    S61 2AD
    UNITED KINGDOM
    Phone
    +447831456468

What this firm is allowed to do

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

  • Investment Advice (no pensions)

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

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

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

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

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

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David John Ashmore

    IRN DJA00020

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF10 Compliance Oversight (1 Sep 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Sep 2010 to 8 Dec 2019)
    • CF30 Customer (1 Sep 2010 to 8 Dec 2019)
    • CF1 Director (1 Sep 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Sep 2010 to 30 Sep 2018)

Recent activity

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

No changes recorded yet.