E C Financial Services Limited

Date authorised
1 April 2013
Companies House
05631832
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 2 limitations
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Raymond Crace

    IRN RXC13521

    • SMF3 Executive Director (9 Dec 2019 to 18 Dec 2023)
    • CF1 Director (21 Jun 2019 to 8 Dec 2019)
  • Stephen Michael Franklin

    IRN SMF01041

    • SMF17 Money Laundering Reporting Officer (MLRO) (11 Jun 2020 to 22 Aug 2022)
    • Responsible for Insurance Distribution (11 Jun 2020 to 22 Aug 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Aug 2022)
    • SMF3 Executive Director (9 Dec 2019 to 22 Aug 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 22 Aug 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 22 Aug 2022)
    • CF1 Director (19 Aug 2019 to 8 Dec 2019)
    • CF30 Customer (21 Sep 2015 to 8 Dec 2019)
  • Stewart Paul Martin

    IRN SPM01197

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (4 Jan 2012 to 8 Dec 2019)
  • Suresh Sreedharan

    IRN SXS03065

    • 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 21 Jun 2022)
    • [FCA CF] Client dealing (since 21 Jun 2022)
  • Thomas York

    IRN TXY00039

    • SMF3 Executive Director (since 17 May 2024)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.