Chartered Financial Solutions Limited

Date authorised
14 May 2021
Companies House
06611992
Last scraped
5 days ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    28 Hopton Crofts
    Leamington Spa
    Warwickshire
    CV32 6NT
    UNITED KINGDOM
    Phone
    +4407946632914

  • Complaints Contact

    28 Hopton Crofts
    Leamington Spa
    Warwickshire
    CV32 6NT
    UNITED KINGDOM
    Phone
    +4407946632914

What this firm is allowed to do

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

  • 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
    • · 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.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

  • Investment Advice (no pensions)

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Alternative Debenture, 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), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • 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, Professional, Retail (Investment), Retail (Non-Investment Insurance), Alternative Debenture, 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), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Alternative Debenture, 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), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

Approved individuals

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

  • Richard Eric McCaughan

    IRN REM00021

    • 3. Giving personal recommendations on derivatives
    • 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)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 May 2021)
    • SMF3 Executive Director (since 14 May 2021)
    • [FCA CF] Client dealing (since 14 May 2021)
    • [FCA CF] Functions requiring qualifications (since 14 May 2021)
    • [FCA CF] Material risk taker (since 14 May 2021)
    • [FCA CF] Significant management (since 14 May 2021)
    • Responsibility for MCD Intermediation (since 14 May 2021)
    • Responsible for Insurance Distribution (since 14 May 2021)
    • SMF16 Compliance Oversight (since 14 May 2021)
    • Director of firm who is not a certification employee or a SMF manager (14 May 2021 to 15 May 2021)

Recent activity

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

No changes recorded yet.