Aspen Financial Strategies Limited

• Principal Place of Business

  93a Church Lane

  Bessacarr

  Doncaster

  South Yorkshire

  DN4 6QG

  UNITED KINGDOM

  Phone

  +4401302370800

• Complaints Contact

  93a Church Lane

  Bessacarr

  Doncaster

  South Yorkshire

  DN4 6QG

  UNITED KINGDOM

  Phone

  +4401302370800

• Buy-to-Let Mortgage Advice

• 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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

  For Retail (Investment)

  Show 1 limitation Hide limitations

  • · 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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

• Insurance Admin

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

• 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

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• James Bryan

  IRN JXB00236

  • CF30 Customer (1 Nov 2007 to 4 Jul 2008)
  • CF21 Investment Adviser (28 Apr 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (25 Feb 2005 to 28 Apr 2006)
• Jill Barbara Carr

  IRN JBC01069

  • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
  • CF21 Investment Adviser (9 Nov 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (23 Apr 2004 to 9 Nov 2005)
• John Gordon Bower

  IRN JGB00036

  • 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)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (29 Aug 2002 to 8 Dec 2019)
  • CF1 Director (29 Aug 2002 to 8 Dec 2019)
  • CF21 Investment Adviser (29 Aug 2002 to 31 Oct 2007)
• Laura Jane Jenkins

  IRN LXJ00185

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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)
  • [FCA CF] Functions requiring qualifications (since 31 Jul 2023)
  • [FCA CF] Client dealing (since 31 Jul 2023)
• Michael O'Horan

  IRN MXO01143

  • CF21 Investment Adviser (29 Aug 2002 to 31 Dec 2004)
  • CF1 Director (29 Aug 2002 to 31 Dec 2004)
• Shaun Chester

  IRN SXC00136

  • 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
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (5 Apr 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (29 Aug 2002 to 31 Mar 2009)
  • CF1 Director (29 Aug 2002 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (29 Aug 2002 to 8 Dec 2019)
  • CF21 Investment Adviser (29 Aug 2002 to 31 Oct 2007)

No changes recorded yet.