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

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  • · 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

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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, 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

• 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.

• Andrew Martin Tobin

  IRN AMT00022

  • CF30 Customer (13 Oct 2009 to 26 Nov 2011)
• Andrew Simon Finn

  IRN ASF01057

  • CF30 Customer (17 Dec 2010 to 10 Apr 2014)
• Anthony Paul Malcolm

  IRN APM01153

  • 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
  • [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 21 Aug 2008)
• Anthony Valentine Carty

  IRN AVC00003

  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 12 Aug 2019)
  • Responsibility for MCD Intermediation (since 31 Aug 2016)
  • CF1 Director (AR) (since 21 Aug 2008)
  • CF30 Customer (since 21 Aug 2008)
  • CF1 Director (19 Oct 2015 to 8 Dec 2019)
• Ashley Edward Connor

  IRN AEC01092

  • CF30 Customer (2 Feb 2016 to 16 Aug 2018)
• Brian Edward Reginald Johnston

  IRN BEJ01013

  • CF30 Customer (5 Aug 2008 to 30 Dec 2009)
• Carly Anne Shute

  IRN CAS01216

  • CF30 Customer (21 Jul 2010 to 30 Dec 2010)
• Craig James

  IRN CXJ01229

  • CF30 Customer (10 Nov 2010 to 30 Sep 2011)
• Daniel Christian Webb

  IRN DCW01086

  • CF30 Customer (12 Sep 2008 to 30 Sep 2010)
• David Charles Lapage

  IRN DCL01049

  • CF30 Customer (18 Aug 2008 to 23 Dec 2013)

• 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.