Austin-Chapel Independent Financial Advisers LLP

• Principal Place of Business

  Suite 6

  Essex House

  Station Road

  Upminster

  Essex

  RM14 2SJ

  UNITED KINGDOM

  Phone

  +441708220816

  Web

  https://www.austinchapel.co.uk

• Complaints Contact

  Suite 6

  Essex House

  Station Road

  Upminster

  Essex

  RM14 2SJ

  UNITED KINGDOM

  Phone

  +441708220816

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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: 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.

• 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.

• 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

  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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · Limited to debt adjusting excluding the conclusion or administration of 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”.

• 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

  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.

• Andrew Clissold

  IRN AXC12141

  • 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] Client dealing (since 4 Mar 2022)
  • Appointed representative dealing with clients for which they require qualification (since 6 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 6 Nov 2020)
  • [FCA CF] CASS oversight function (6 Nov 2020 to 4 Mar 2022)
  • CF30 Customer (2 Mar 2019 to 8 Dec 2019)
• Gary Austin O'Neill

  IRN GXO00023

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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] CASS oversight function (since 6 Nov 2020)
  • [FCA CF] Benchmark submission and administration (since 6 Nov 2020)
  • [FCA CF] Client dealing (since 6 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 6 Nov 2020)
  • [FCA CF] Manager of certification employee (since 6 Nov 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF4 Partner (18 Jun 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (18 Jun 2010 to 8 Dec 2019)
  • CF30 Customer (18 Jun 2010 to 8 Dec 2019)
• John Colin Dennis

  IRN JCD01128

  • CF30 Customer (18 Jun 2010 to 3 Dec 2010)
• Keith Albert Clissold

  IRN KAC01050

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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] Client dealing (since 6 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 6 Nov 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF10 Compliance Oversight (18 Jun 2010 to 8 Dec 2019)
  • CF30 Customer (18 Jun 2010 to 8 Dec 2019)
  • CF4 Partner (18 Jun 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (18 Jun 2010 to 30 Sep 2018)
• Robert John Paites

  IRN RJP00035

  • CF30 Customer (18 Jun 2010 to 24 Dec 2010)
• Steven David Barnes

  IRN SDB00047

  • [FCA CF] Client dealing (6 Nov 2020 to 4 Mar 2022)
  • [FCA CF] Functions requiring qualifications (6 Nov 2020 to 4 Mar 2022)
• Wayne Dell

  IRN WXD00017

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • Appointed representative dealing with clients for which they require qualification (since 6 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 6 Nov 2020)

• Active life & Protect LLP (no longer appointed)

  FRN 788426 · Appointed 7 Sep 2017 · Until 3 May 2024

• Austin Chapel Equity Release LLP (no longer appointed)

  FRN 779365 · Appointed 19 May 2017 · Until 3 May 2024

No changes recorded yet.