COMPASS INDEPENDENT FINANCIAL SERVICES LIMITED

• Principal Place of Business

  1 Doctors Road

  Blofield

  Norwich

  Norfolk

  NR13 4LF

  UNITED KINGDOM

  Phone

  +4401603717202

  Web

  https://www.compass-ifs.co.uk

• Complaints Contact

  1 Doctors Road

  Blofield

  Norwich

  Norfolk

  NR13 4LF

  UNITED KINGDOM

  Phone

  +4401603717202

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For 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 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

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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.

• 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Credit Brokering

• 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”.

• 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.

• Alexis Ann Macdonald

  IRN AAM00020

  • 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)
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 30 Jul 2025)
  • [FCA CF] Client dealing (since 29 Apr 2025)
• Alice Mary Ward-Smith

  IRN AMW01244

  • CF30 Customer (27 Mar 2018 to 7 May 2019)
• Christopher Brian Edward Griffin

  IRN CBG01038

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • 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
  • SMF3 Executive Director (since 5 Mar 2021)
  • [FCA CF] Client dealing (since 1 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
  • CF30 Customer (16 Mar 2016 to 8 Dec 2019)
• Christopher Sidney Brown

  IRN CSB00015

  • CF30 Customer (3 Jan 2012 to 31 Oct 2012)
• David James Bullard

  IRN DJB01531

  • CF30 Customer (7 May 2013 to 14 Nov 2018)
• David Peter Sinclair

  IRN DXS00863

  • [FCA CF] Functions requiring qualifications (16 Jan 2024 to 11 Oct 2024)
  • [FCA CF] Client dealing (20 Jun 2023 to 11 Oct 2024)
• Denis James Connelly

  IRN DJC00122

  • CF30 Customer (29 Aug 2012 to 23 Nov 2012)
• Dorian Squires

  IRN DXS00255

  • SMF3 Executive Director (19 Mar 2021 to 21 Feb 2023)
  • [FCA CF] Client dealing (1 Dec 2020 to 21 Feb 2023)
  • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 21 Feb 2023)
• James John Fleming Cree

  IRN JJC01082

  • [FCA CF] Client dealing (since 22 Jan 2024)
• Jenna Louise Mary Chandler

  IRN JXC00335

  • [FCA CF] Client dealing (1 Dec 2020 to 10 Sep 2021)

No changes recorded yet.