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

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  • · 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.

• Laurence Joseph Brown

  IRN LJB00008

  • SMF3 Executive Director (3 Oct 2022 to 2 Dec 2024)
  • [FCA CF] Client dealing (9 Dec 2020 to 2 Dec 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 2 Dec 2024)
  • CF30 Customer (13 Jun 2016 to 8 Dec 2019)
• Louise Claro

  IRN LXC00022

  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Significant management (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • Responsible for Insurance Distribution (since 24 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • [FCA CF] Manager of certification employee (9 Dec 2020 to 10 Dec 2020)
  • CF1 Director (31 Mar 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (31 Mar 2014 to 8 Dec 2019)
  • CF30 Customer (11 Mar 2014 to 8 Dec 2019)
• Malcolm George Harris

  IRN MGH01070

  • CF21 Investment Adviser (11 Jun 2003 to 11 Jun 2003)
  • CF22 Investment Adviser (Trainee) (25 Feb 2003 to 18 Jun 2003)
• Malcolm Stuart Samuels

  IRN MSS00005

  • CF22 Investment Adviser (Trainee) (12 Apr 2006 to 19 Jun 2006)
• Mark Andrew Bennett

  IRN MAB00038

  • CF21 Investment Adviser (14 Jul 2003 to 1 Mar 2004)
• Mark Leslie Stone

  IRN MLS00007

  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2004)
• Matthew Peter Dikta

  IRN MXD00234

  • [FCA CF] Significant management (since 31 Mar 2021)
• Mayanthi Kodikara

  IRN MDK01067

  • 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
  • 14. Managing investments
  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • [FCA CF] Functions requiring qualifications (since 12 Jul 2023)
  • [FCA CF] Client dealing (since 12 Jul 2023)
• Michael John Howard

  IRN MJH00129

  • CF11 Money Laundering Reporting (12 Aug 2008 to 28 Apr 2009)
  • CF30 Customer (1 Nov 2007 to 17 Apr 2008)
  • CF21 Investment Adviser (12 May 2003 to 31 Oct 2007)
• Michael Richard Head

  IRN MRH01199

  • CF22 Investment Adviser (Trainee) (9 May 2006 to 16 May 2006)

No changes recorded yet.