Chelsea Investments Limited

• Principal Place of Business

  755 Fulham Road

  London

  SW6 5UU

  UNITED KINGDOM

  Phone

  +442073719191

  Web

  https://www.chelseainvestments.co.uk

• Complaints Contact

  755 Fulham Road

  London

  SW6 5UU

  UNITED KINGDOM

  Phone

  +442073719191

• 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 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

• 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

• Stockbroking

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

• 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

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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.

• Ann Watcyn Pugh

  IRN AWP00004

  • CF11 Money Laundering Reporting (18 Oct 2010 to 24 Dec 2012)
  • CF10 Compliance Oversight (18 Oct 2010 to 19 Dec 2017)
  • CF30 Customer (1 Nov 2007 to 24 Dec 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 19 Dec 2017)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 19 Dec 2017)
• Caroline Jane Mary Bradley Scott

  IRN CJS00056

  • CF22 Investment Adviser (Trainee) (22 Feb 2002 to 22 Feb 2002)
• David Robert Williams

  IRN DRW01119

  • CF30 Customer (1 Nov 2007 to 25 Jul 2008)
  • CF22 Investment Adviser (Trainee) (21 Dec 2004 to 31 Oct 2007)
• John Michael Holder

  IRN JMH00003

  • SMF1 Chief Executive (since 3 Feb 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 24 Dec 2012)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Mark Anthony Brown

  IRN MXB00370

  • CF22 Investment Adviser (Trainee) (7 Mar 2002 to 7 Mar 2002)
• Mark Fletcher

  IRN MXF00065

  • CF21 Investment Adviser (1 Dec 2001 to 2 Feb 2006)
• Neil Christopher Wilson

  IRN NCW01042

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 28 Sep 2016)
  • Responsible for Insurance Mediation (4 Jan 2018 to 30 Sep 2018)
  • CF10 Compliance Oversight (4 Jan 2018 to 8 Dec 2019)
  • CF1 Director (24 Sep 2008 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (17 Aug 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (25 Nov 2004 to 17 Aug 2005)
• Samuel Holder

  IRN SXH02221

  • CF30 Customer (1 Mar 2013 to 19 Dec 2017)
• Steven Bates

  IRN SPB00068

  • CF24 Pension Transfer Specialist (9 Jan 2003 to 9 Jan 2003)

No changes recorded yet.