Circle Financial Services Limited

• Principal Place of Business

  Faraday House

  118 Holyhead Road

  Coventry

  West Midlands

  CV1 3LY

  UNITED KINGDOM

  Phone

  +4402476257444

  Web

  https://www.circlefinancial.co.uk

• Complaints Contact

  7 John Bradshaw Court, Alexandria Way

  Congleton

  Cheshire

  CW12 1LB

  UNITED KINGDOM

  Phone

  +441260298612

• 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 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.

• 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), Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Stockbroking

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

• 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.

• Adrian Derek Weston

  IRN ADW00032

  • CF10 Compliance Oversight (1 Dec 2001 to 31 Jan 2003)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 31 Jan 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Jan 2003)
  • CF1 Director (1 Dec 2001 to 31 Jan 2003)
• Allan Gilbert Wright

  IRN AGW00032

  • CF30 Customer (1 Nov 2007 to 30 Dec 2010)
  • CF21 Investment Adviser (27 Feb 2003 to 31 Oct 2007)
• Amanda Jane Buxton

  IRN AJB00064

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 17. Administrative functions in relation to managing investments
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 14. Managing investments
  • [FCA CF] Client dealing (since 8 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2024)
• Anthony John Norcott

  IRN AJN00023

  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 9 Jan 2020)
  • CF10 Compliance Oversight (17 Jul 2009 to 31 Oct 2011)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (2 Jun 2004 to 22 Nov 2004)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 29 Jul 2008)
• Ashley Jordan Davis

  IRN AXD00867

  • [FCA CF] Significant management (since 25 Jan 2024)
• B GIBSON

  IRN BXG01103

  • CF21 Investment Adviser (27 Oct 2003 to 19 Jan 2004)
• Benjamin Matthew Curtis

  IRN BMC00008

  • [FCA CF] Client dealing (9 Dec 2020 to 31 Mar 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 31 Mar 2022)
  • CF30 Customer (8 Apr 2016 to 8 Dec 2019)
• Billie Wakefield

  IRN BXW00098

  • [FCA CF] Significant management (31 Mar 2021 to 30 Apr 2024)
• Brian Anthony Sedge

  IRN BAS01061

  • CF30 Customer (9 Aug 2010 to 26 Apr 2013)
• Christopher Arun Matthew Cooke

  IRN CAC00055

  • CF21 Investment Adviser (15 Apr 2003 to 23 May 2003)
  • CF22 Investment Adviser (Trainee) (4 Dec 2002 to 23 May 2003)

No changes recorded yet.