COTSWOLD INDEPENDENT FINANCIAL SERVICES LTD

• Principal Place of Business

  Stanley House

  1 Warwick Street

  Earlsdon

  Coventry

  West Midlands

  CV5 6ET

  UNITED KINGDOM

  Phone

  +4402476920029

  Web

  https://www.cotswoldifs.co.uk

• Complaints Contact

  Stanley House

  1 Warwick Street

  Earlsdon

  Coventry

  West Midlands

  CV5 6ET

  UNITED KINGDOM

  Phone

  +4402476920029

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, 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 pension policies with a Guaranteed Annuity Rate.
  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Equity Release Setup

  For Customer, Home reversion plans

• 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, 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.

• Credit Score Services

  Show 1 limitation Hide limitations

  • · This permission is limited to not carrying out credit repair services

• Mark Andrew Robert Slough

  IRN MAS00120

  • 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
  • Appointed representative dealing with clients for which they require qualification (since 1 Jan 2020)
  • CF30 Customer (since 12 Jan 2015)
  • [FCA CF] Client dealing (1 Jan 2020 to 15 Mar 2024)
  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 2 Jan 2020)
• Matthew Quinn

  IRN MXQ00001

  • CF1 Director (AR) (4 Feb 2022 to 12 Mar 2026)
  • [FCA CF] Significant management (1 Jan 2020 to 15 Mar 2024)
  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 15 Mar 2024)
  • [FCA CF] Client dealing (1 Jan 2020 to 15 Mar 2024)
  • SMF3 Executive Director (9 Dec 2019 to 12 Mar 2026)
  • CF30 Customer (21 Nov 2013 to 8 Dec 2019)
  • CF1 Director (21 Oct 2013 to 8 Dec 2019)
• Naomi Elizabeth Fielder

  IRN NXF16281

  • 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)
  • [FCA CF] Client dealing (since 16 Jun 2025)
  • [FCA CF] Functions requiring qualifications (since 7 Jun 2023)
• Neil John Yeoman

  IRN NJY00002

  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 1 Sep 2021)
  • CF1 Director (AR) (3 Feb 2015 to 3 Feb 2025)
  • CF1 Director (21 Oct 2013 to 28 Nov 2019)
• Paul John Corden

  IRN PJC01394

  • 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)
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • CF30 Customer (29 Apr 2014 to 8 Dec 2019)
• Paul Stringer

  IRN SXP02953

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • Appointed representative dealing with clients for which they require qualification (since 7 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 7 Jan 2020)
• Robert James Boland

  IRN RJB01474

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • Appointed representative dealing with clients for which they require qualification (since 7 Apr 2022)
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • CF30 Customer (3 Jul 2017 to 8 Dec 2019)
• Rory Rajan Joseph

  IRN RRJ01011

  • 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)
  • Appointed representative dealing with clients for which they require qualification (since 1 Jan 2020)
  • CF1 Director (AR) (since 8 Oct 2014)
  • CF30 Customer (since 21 Oct 2013)
  • [FCA CF] Client dealing (1 Jan 2020 to 15 Mar 2024)
  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 2 Jan 2020)
• Saime Dodwell

  IRN SXD01550

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • CF30 Customer (30 Sep 2017 to 8 Dec 2019)
• Steven John Lilleyman

  IRN SJL00025

  • 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)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • CF30 Customer (18 Nov 2013 to 8 Dec 2019)

• Common Sense Financial Planning Ltd

  FRN 496888 · Appointed 25 Jan 2022

• Otus Mortgages Ltd

  FRN 652422 · Appointed 30 Oct 2014

• JLM Independent Wealth Management Ltd

  FRN 568334 · Appointed 5 Sep 2014

• Smith & Pithers Financial Management Ltd (no longer appointed)

  FRN 517022 · Appointed 1 Mar 2016 · Until 5 Jan 2023

No changes recorded yet.