E C Financial Services Limited

• Principal Place of Business

  122 New London Road

  Chelmsford

  Essex

  CM2 0RG

  UNITED KINGDOM

  Phone

  +4401245294900

  Web

  https://www.ecfsltd.co.uk

• Complaints Contact

  122 New London Road

  Chelmsford

  Essex

  CM2 0RG

  UNITED KINGDOM

  Phone

  +4401245294900

• 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 Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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 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.

• Stockbroking

  For Retail (Non-Investment Insurance), Non-investment insurance contracts, Structured Deposits

• Investment Setup

  For Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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.

• Clare van Belkum

  IRN CXV01203

  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (11 Aug 2017 to 8 Dec 2019)
• David Anthony Carr

  IRN DAC00036

  • SMF3 Executive Director (9 Dec 2019 to 21 Jul 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Jul 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 21 Jul 2020)
  • CF30 Customer (4 Jan 2012 to 8 Dec 2019)
  • Responsible for Insurance Mediation (4 Jan 2012 to 30 Sep 2018)
  • CF1 Director (4 Jan 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 Jan 2012 to 11 Oct 2018)
  • CF11 Money Laundering Reporting (4 Jan 2012 to 8 Dec 2019)
• David Charles Drain

  IRN DCD01049

  • CF1 Director (4 Jan 2012 to 31 Mar 2019)
• Eve Allum

  IRN EXA06079

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Nov 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Nov 2022)
  • CF30 Customer (14 Sep 2018 to 8 Dec 2019)
• Gary Bennett

  IRN GXB01635

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Aug 2022)
  • Responsible for Insurance Distribution (since 19 Aug 2022)
  • SMF3 Executive Director (since 19 Aug 2022)
• Jelena Gunner

  IRN JXG01615

  • CF30 Customer (1 Apr 2013 to 1 Oct 2015)
• Kevin John Bray

  IRN KJB01072

  • Responsible for Insurance Distribution (2 Oct 2018 to 14 Nov 2019)
  • CF10 Compliance Oversight (2 Oct 2018 to 14 Nov 2019)
  • CF1 Director (22 May 2015 to 14 Nov 2019)
  • CF30 Customer (13 Dec 2013 to 14 Nov 2019)
• Kevin John Wheatland

  IRN KJW01113

  • 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 26 Jan 2023)
  • [FCA CF] Client dealing (since 26 Jan 2023)
• Michael James MacLeod

  IRN MJM01555

  • CF30 Customer (17 Oct 2016 to 11 Oct 2018)
• Philip Joseph Giles

  IRN PJG01093

  • 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] Manager of certification employee (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (30 Jul 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (30 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2018 to 8 Dec 2019)

No changes recorded yet.