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.

• Michaela Topliss

  IRN MXT01363

  • CF22 Investment Adviser (Trainee) (8 Aug 2003 to 31 Dec 2004)
• Paul James Brady

  IRN PJB00132

  • CF10 Compliance Oversight (19 Feb 2003 to 31 May 2004)
  • CF11 Money Laundering Reporting (11 Feb 2003 to 31 May 2004)
  • CF1 Director (11 Feb 2003 to 31 May 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2002)
• Paul Neil Longmore

  IRN PNL00003

  • CF30 Customer (1 Nov 2007 to 27 Aug 2009)
  • CF21 Investment Adviser (16 May 2003 to 31 Oct 2007)
• Pervinder Singh Kular

  IRN PXK00144

  • [FCA CF] Significant management (since 31 Mar 2021)
• Rachael Hall

  IRN RXH01600

  • CF30 Customer (22 Dec 2017 to 31 Oct 2019)
• Rhiannon Houston

  IRN RXH00427

  • 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
  • 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
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 18 Mar 2022)
  • [FCA CF] Client dealing (since 18 Mar 2022)
  • [FCA CF] Functions requiring qualifications (1 Oct 2021 to 2 Oct 2021)
  • [FCA CF] Client dealing (1 Oct 2021 to 2 Oct 2021)
• Stephen John Phillips

  IRN SJP00007

  • CF30 Customer (1 Nov 2007 to 30 Dec 2010)
  • CF1 Director (3 Jan 2006 to 4 Sep 2007)
  • CF21 Investment Adviser (17 Oct 2002 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (13 Aug 2002 to 31 Oct 2007)
• Tamara Svitlana Irena Mogilnicki

  IRN TSM00002

  • CF30 Customer (1 Nov 2007 to 20 Nov 2009)
  • CF22 Investment Adviser (Trainee) (6 Jun 2007 to 31 Oct 2007)
• Thomas Bryce

  IRN TXB00061

  • CF21 Investment Adviser (17 Feb 2003 to 31 Mar 2006)
  • CF1 Director (17 Feb 2003 to 17 Feb 2003)

No changes recorded yet.