CLEARVIEW INDEPENDENT FINANCIAL ADVISERS LIMITED

• Principal Place of Business

  6 Thomas Street

  St Thomas

  Swansea

  SA1 8AT

  UNITED KINGDOM

  Phone

  +4401792469394

• Complaints Contact

  6 Thomas Street

  St Thomas

  Swansea

  SA1 8AT

  UNITED KINGDOM

  Phone

  +4401792469394

• 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, 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.

• 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, 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

• 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, 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.

• Bryn Gareth Roach

  IRN BGR00012

  • CF30 Customer (4 Sep 2013 to 22 Mar 2016)
• Christopher Llewellyn Stilwell

  IRN CLS00004

  • 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)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • 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)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF10 Compliance Oversight (1 Jul 2011 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Jul 2011 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Jul 2011 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2011 to 8 Dec 2019)
  • CF1 Director (1 Jul 2011 to 8 Dec 2019)
• Douglas Brian Adams

  IRN DBA00009

  • CF30 Customer (2 Sep 2013 to 25 Jan 2017)
• Gareth James Stilwell

  IRN GJS01170

  • 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)
  • CF30 Customer (30 Dec 2012 to 8 Dec 2019)
  • CF1 Director (1 Jul 2011 to 8 Dec 2019)
• Martin Allchurch

  IRN MXA00046

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Apr 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Apr 2024)
  • CF30 Customer (12 Oct 2011 to 8 Dec 2019)
• Michael Dennis Stevens

  IRN MXS00189

  • [FCA CF] Client dealing (9 Dec 2019 to 23 Oct 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Oct 2023)
  • CF30 Customer (13 Feb 2012 to 8 Dec 2019)
• Robin Andrew Burden

  IRN RAB01290

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jul 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jul 2021)
  • CF30 Customer (12 Sep 2011 to 8 Dec 2019)
• Ronald Stewart Hooper

  IRN RSH00017

  • 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
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (5 Sep 2011 to 31 Dec 2012)

No changes recorded yet.