Carpenter John Financial Services Ltd

• Principal Place of Business

  Carpenter John Financial Services Ltd

  24 Forge Road

  Port Talbot

  Neath Port Talbot

  SA13 1NU

  UNITED KINGDOM

  Phone

  +4401639897481

  Web

  https://www.carpenterjohn.co.uk

• Complaints Contact

  24 Forge Road

  Port Talbot

  SA13 1NU

  UNITED KINGDOM

  Phone

  +4401639897481

• 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 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

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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, 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, 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 Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages and second charge mortgages

• 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, 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.

• Catherine Rhianydd Nolan

  IRN CRN01027

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 17 Jan 2022)
  • [FCA CF] Functions requiring qualifications (since 17 Jan 2022)
• Darren John Lindell

  IRN DJL00075

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 1 Feb 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (4 Jan 2017 to 8 Dec 2019)
• Gareth Anthony Carpenter

  IRN GAC01074

  • Responsible for Insurance Distribution (1 Oct 2018 to 20 Nov 2019)
  • CF10 Compliance Oversight (9 May 2016 to 20 Nov 2019)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 20 Nov 2019)
  • CF1 Director (30 Apr 2008 to 20 Nov 2019)
  • Responsible for Insurance Mediation (30 Apr 2008 to 30 Sep 2018)
  • CF30 Customer (30 Apr 2008 to 31 Dec 2012)
  • CF11 Money Laundering Reporting (30 Apr 2008 to 20 Nov 2019)
• Graham John

  IRN GXJ00016

  • CF1 Director (30 Apr 2008 to 31 Dec 2013)
  • CF8 Apportionment and Oversight (30 Apr 2008 to 31 Mar 2009)
  • CF30 Customer (30 Apr 2008 to 31 Dec 2013)
  • CF10 Compliance Oversight (30 Apr 2008 to 31 Dec 2013)
• Ian Christopher Loveless

  IRN ICL00009

  • Responsibility for MCD Intermediation (since 20 Feb 2020)
  • SMF3 Executive Director (since 20 Feb 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Feb 2020)
  • SMF16 Compliance Oversight (since 20 Feb 2020)
  • Responsible for Insurance Distribution (since 20 Feb 2020)
• Jamie Curry

  IRN JXC03510

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 4 Feb 2026)
• Philip Owen

  IRN PXO00020

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Simon Robert Mitchell

  IRN SXM00287

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
• Stephen Michael Fry

  IRN SMF01113

  • CF30 Customer (15 May 2012 to 31 Dec 2013)

• J2 Associates Ltd (no longer appointed)

  FRN 542761 · Appointed 8 Mar 2011 · Until 31 Mar 2012

No changes recorded yet.