Copperstone Financial Services Ltd

• Principal Place of Business

  Copperstone House

  Old Walls

  Llanrhidian

  Swansea

  Glamorgan

  SA3 1HA

  UNITED KINGDOM

  Phone

  +4401792390490

  Web

  https://www.copperstone-financial.co.uk

• Complaints Contact

  41 Waun Road

  Loughor

  Swansea

  Glamorgan

  SA4 6QN

  UNITED KINGDOM

  Phone

  +4401792413908

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme

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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.

• 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.

• 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.

• Huw Dunn Dixon

  IRN HDD00001

  • Responsibility for MCD Intermediation (21 Mar 2016 to 31 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 31 Mar 2016)
  • CF21 Investment Adviser (3 Apr 2006 to 31 Oct 2007)
  • CF1 Director (3 Apr 2006 to 31 Mar 2016)
  • CF11 Money Laundering Reporting (3 Apr 2006 to 31 Mar 2016)
• Mario Bernadino Amura

  IRN MBA00002

  • 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)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 6 Oct 2016)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 10 Dec 2019)
  • CF11 Money Laundering Reporting (1 Sep 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (12 Feb 2010 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Apr 2006 to 31 Oct 2007)
  • CF1 Director (3 Apr 2006 to 8 Dec 2019)
• Richard Slade Williams

  IRN RSW00014

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (3 Apr 2006 to 31 Mar 2009)
  • Responsible for Insurance Mediation (3 Apr 2006 to 30 Sep 2018)
  • CF1 Director (3 Apr 2006 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Apr 2006 to 12 Feb 2010)
  • CF21 Investment Adviser (3 Apr 2006 to 31 Oct 2007)

No changes recorded yet.