EA Financial Solutions Ltd

• Principal Place of Business

  1

  Ascot Close

  Elstree

  Hertfordshire

  WD6 3JH

  UNITED KINGDOM

  Phone

  +4402084463231

• Complaints Contact

  1 Ascot Close

  Elstree

  Borehamwood

  Hertfordshire

  WD6 3JH

  UNITED KINGDOM

  Phone

  +4402084463231

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, 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 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.
  • · 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

  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

  Show 1 limitation Hide limitations

  • · 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

  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

• Insurance Admin

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

• Credit Brokering

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages and second charge mortgage

• 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.

• Alan Levene

  IRN AXL00002

  • CF24 Pension Transfer Specialist (1 May 2003 to 1 May 2003)
  • CF21 Investment Adviser (1 May 2003 to 30 Sep 2007)
• Ana de la Quintana

  IRN AXD01780

  • CF30 Customer (16 Feb 2010 to 7 May 2013)
• Georgy Bugakov

  IRN GXB07446

  • CF30 Customer (22 Nov 2018 to 15 Mar 2019)
• Howard Frank Weintrob

  IRN HFW01011

  • CF30 Customer (1 Nov 2007 to 30 Mar 2009)
  • CF21 Investment Adviser (2 Feb 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (30 Jan 2006 to 2 Feb 2007)
  • CF1 Director (AR) (30 Jan 2006 to 23 Jan 2007)
• Kiran Pabari

  IRN KXP01217

  • CF30 Customer (9 Jul 2010 to 24 Mar 2011)
• Minesh Patel

  IRN MXP01380

  • 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
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 17. Administrative functions in relation to managing investments
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [PRA CF] Key function holder (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (1 May 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (1 May 2003 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 May 2003 to 31 Oct 2007)
  • CF3 Chief Executive (1 May 2003 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 May 2003 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (1 May 2003 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 May 2003 to 8 Dec 2019)

• SPL & Associates Ltd (no longer appointed)

  FRN 462681 · Appointed 18 Jan 2007 · Until 7 Apr 2009

• Distinctive Fianancial Planning Ltd (no longer appointed)

  FRN 447240 · Appointed 24 Jan 2006 · Until 10 Jan 2007

No changes recorded yet.