Clifton Compliance Services Ltd

• Principal Place of Business

  Clifton Asset Management plc

  The Pavilions 69-71

  Macrae Road

  Pill

  Bristol

  North Somerset

  BS20 0DD

  UNITED KINGDOM

  Phone

  +4401275813700

  Web

  https://www.clifton-asset.co.uk

• Complaints Contact

  Clifton Asset Management plc

  The Pavilions 69-71

  Macrae Road

  Pill

  Bristol

  North Somerset

  BS20 0DD

  UNITED KINGDOM

  Phone

  +4401275813700

• 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

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• 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

  Show 1 limitation Hide limitations

  • · 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), Life Policy, Non-investment insurance contracts

• Credit Brokering

• 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.

• Adam Charles Newman

  IRN ACN01033

  • CF30 Customer (4 Feb 2009 to 2 Jul 2015)
• Adam Charles Worgan

  IRN ACW00001

  • CF30 Customer (8 Nov 2011 to 17 Apr 2015)
• Adam Jason Tavener

  IRN AJT00034

  • SMF1 Chief Executive (9 Dec 2019 to 19 Mar 2025)
  • SMF3 Executive Director (9 Dec 2019 to 19 Mar 2025)
  • CF3 Chief Executive (29 Dec 2015 to 8 Dec 2019)
  • CF1 Director (29 Dec 2015 to 8 Dec 2019)
  • CF30 Customer (21 Aug 2008 to 30 Dec 2010)
  • CF1 Director (AR) (21 Aug 2008 to 19 Mar 2025)
• Adrian John Harding

  IRN AJH00194

  • CF30 Customer (18 Aug 2008 to 30 Sep 2009)
• Alan Robert Crook

  IRN ARC01175

  • 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
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • CF30 Customer (since 18 Jun 2010)
• Albert Charles Frederick Jackson

  IRN ACJ00008

  • CF30 Customer (21 Aug 2008 to 20 Oct 2009)
• Alexander Andreas Stavri

  IRN AAS01089

  • CF30 Customer (18 Jun 2010 to 3 Sep 2018)
• Alexander Wheeler

  IRN AXW02007

  • CF30 Customer (28 Mar 2014 to 6 Jun 2019)
• Alison Sara Hatchard

  IRN ASH01129

  • CF30 Customer (15 Mar 2012 to 8 Mar 2013)
• Andrew Charles Tubb

  IRN ACT01092

  • CF30 Customer (1 Jun 2019 to 3 Dec 2019)

• CLIFTON CONSULTING LIMITED

  FRN 541544 · Appointed 15 Feb 2011

• Funder Finder Ltd (no longer appointed)

  FRN 774856 · Appointed 24 Mar 2017 · Until 6 Nov 2024

• ALTERNATIVE BUSINESS FUNDING LIMITED (no longer appointed)

  FRN 719957 · Appointed 9 Oct 2015 · Until 1 Jun 2025

• CLIFTON WEALTH LIMITED (no longer appointed)

  FRN 541564 · Appointed 15 Feb 2011 · Until 6 Nov 2024

• Clifton 310311 Limited (no longer appointed)

  FRN 200448 · Appointed 7 Aug 2008 · Until 4 Jan 2016

No changes recorded yet.