CITY INVESTMENT & INSURANCE SERVICES LIMITED

• Principal Place of Business

  251 Tulketh Brow

  Ashton-on-Ribble

  Preston

  Lancashire

  PR2 2JH

  UNITED KINGDOM

  Phone

  +441772739995

  Web

  https://www.cityinvest.co.uk

• Complaints Contact

  251 Tulketh Brow

  Ashton-on-Ribble

  Preston

  Lancashire

  PR2 2JH

  UNITED KINGDOM

  Phone

  +441772739995

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

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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 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

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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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

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  • · The firm may not broker credit for the purpose of increasing the funds available for investment into retail investment products.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.
  • · This permission is limited to debt counselling which is provided in connection with investment advice.
  • · This permission is limited to debt counselling which is provided in connection with home finance advice including second charge and buy-to-let mortgages.

• Equity Release Setup

  For Customer, Home reversion plans

• 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

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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.

• Credit Score Services

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  • · This permission is limited to not carrying out credit repair services

• Carl Jonathan Slade

  IRN CJS00049

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF10 Compliance Oversight (1 Oct 2017 to 8 Dec 2019)
  • CF30 Customer (7 Oct 2013 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (7 Oct 2013 to 1 Oct 2017)
  • CF1 Director (7 Oct 2013 to 8 Dec 2019)
• Karl David Wolstencroft

  IRN KDW01030

  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (1 Oct 2017 to 8 Dec 2019)
  • CF1 Director (22 Dec 2015 to 8 Dec 2019)
  • CF30 Customer (7 Oct 2013 to 8 Dec 2019)
• Martin John Newton

  IRN MJN00013

  • 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
  • 11. Pension transfer specialist
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 9 Oct 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF1 Director (7 Oct 2013 to 8 Dec 2019)
  • CF28 Systems and controls (7 Oct 2013 to 8 Dec 2019)
  • CF30 Customer (7 Oct 2013 to 8 Dec 2019)
  • CF29 Significant management (7 Oct 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (7 Oct 2013 to 30 Sep 2018)
• Thomas Joseph Barr

  IRN TXB00547

  • [FCA CF] Functions requiring qualifications (6 Mar 2024 to 23 Aug 2024)
• William David Scott

  IRN WDS00006

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 11. Pension transfer specialist
  • 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
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 29 Apr 2016)
  • CF10 Compliance Oversight (7 Oct 2013 to 1 Oct 2017)
  • CF30 Customer (7 Oct 2013 to 8 Dec 2019)
  • CF1 Director (7 Oct 2013 to 8 Dec 2019)

No changes recorded yet.