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

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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.

• 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.

• Daniel John Peberdy

  IRN DXP00260

  • 14. Managing investments
  • 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
  • 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
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 8 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2024)
• David Jonathan Parr

  IRN DJP00026

  • 14. Managing investments
  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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] Client dealing (since 8 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2024)
  • [FCA CF] Manager of certification employee (since 8 Mar 2024)
• David Martin Smith

  IRN DMS00045

  • CF21 Investment Adviser (5 Apr 2006 to 30 Sep 2006)
• David Reeves

  IRN DXR00125

  • CF1 Director (1 Dec 2001 to 1 Oct 2004)
• Elaine Bridget Parker

  IRN EBP01010

  • [FCA CF] Significant management (31 Mar 2021 to 13 Jun 2022)
• Emma Louise Ainscough

  IRN EXA00058

  • [FCA CF] Significant management (since 31 Mar 2021)
• Francis Peter Gower-Smith

  IRN FPG00002

  • 11. Pension transfer specialist
  • 14. Managing investments
  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (9 May 2006 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (28 Jun 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Jun 2004 to 31 Oct 2007)
• Gordon Law

  IRN GXL01192

  • CF30 Customer (1 Feb 2010 to 30 Dec 2012)
• Hazel Caroline McCarthy

  IRN HCM00001

  • CF21 Investment Adviser (1 Dec 2001 to 1 Feb 2002)
• James Shields

  IRN JXS01983

  • SMF3 Executive Director (9 Dec 2019 to 1 May 2024)
  • CF10 Compliance Oversight (31 Oct 2011 to 4 Apr 2014)
  • CF1 Director (7 Jan 2005 to 8 Dec 2019)

No changes recorded yet.