AV Trinity Limited

• Principal Place of Business

  A V Trinity Ltd

  77 Mount Ephraim

  Tunbridge Wells

  Kent

  TN4 8BS

  UNITED KINGDOM

  Phone

  +4401892612500

  Web

  https://www.avtrinity.com

• Complaints Contact

  A V Trinity Ltd

  77 Mount Ephraim

  Tunbridge Wells

  Kent

  TN4 8BS

  UNITED KINGDOM

  Phone

  +441892612500

• Buy-to-Let Mortgage Advice

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, 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

  Show 2 limitations Hide limitations

  • · 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

  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

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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

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• 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, 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.

• Eric Clapton

  IRN EXC00025

  • CF30 Customer (22 May 2012 to 30 Sep 2014)
  • CF1 Director (AR) (18 May 2012 to 9 Oct 2014)
• Frank Lloyd Harewood

  IRN FLH00001

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (9 Dec 2015 to 8 Dec 2019)
• Helen Frances Carey

  IRN HFC01012

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Significant management (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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 23 Oct 2019)
  • Responsible for Insurance Distribution (since 23 Oct 2019)
  • CF10 Compliance Oversight (23 Oct 2019 to 8 Dec 2019)
  • CF1 Director (23 Oct 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (23 Oct 2019 to 8 Dec 2019)
  • CF30 Customer (5 Apr 2018 to 8 Dec 2019)
• Jack Finch

  IRN JXF08808

  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2025)
  • CF30 Customer (2 Jan 2019 to 8 Dec 2019)
• Jane Hawkins

  IRN JXH00155

  • CF30 Customer (15 Jul 2008 to 3 Oct 2008)
• Joe Kenneth Parker

  IRN JKP01040

  • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
• John Andreas Heaslip

  IRN JAH01368

  • CF30 Customer (7 May 2015 to 26 May 2015)
• John Kings

  IRN JXK00189

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Dec 2024)
• Julie Lavers

  IRN JXL00064

  • CF30 Customer (3 Jan 2012 to 23 May 2019)
• Karen Linda Vidler

  IRN KLV00002

  • CF10 Compliance Oversight (8 Feb 2013 to 21 Apr 2015)
  • CF30 Customer (1 Nov 2007 to 11 Apr 2016)
  • CF8 Apportionment and Oversight (3 Feb 2005 to 31 Oct 2007)
  • Responsible for Insurance Mediation (14 Jan 2005 to 11 Apr 2016)
  • CF1 Director (AR) (1 Dec 2001 to 11 Apr 2016)
  • CF1 Director (1 Dec 2001 to 11 Apr 2016)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 14 Jan 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

• Clapton Consultants Limited (no longer appointed)

  FRN 580853 · Appointed 9 May 2012 · Until 27 Oct 2014

• AV Private Wealth Management Ltd (no longer appointed)

  FRN 452987 · Appointed 7 Jun 2006 · Until 31 Mar 2009

• Professional Financial Consultants Ltd (no longer appointed)

  FRN 205975 · Appointed 14 Feb 2002 · Until 15 Oct 2002

• Bridgehead (UK) Limited (no longer appointed)

  FRN 193134 · Appointed 31 Mar 2000 · Until 15 Mar 2011

No changes recorded yet.