Eastwood Financial Services Limited

Date authorised
1 April 2013
Companies House
03649630
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Pennine House
    Lowfields Close
    Lowfields Business Park
    Elland
    West Yorkshire
    HX5 9DA
    UNITED KINGDOM
    Phone
    +4401422377737
    Web
    https://www.eastwoodfinancial.co.uk

  • Complaints Contact

    Pennine House
    Lowfields Close
    Lowfields Business Park
    Elland
    West Yorkshire
    HX5 9DA
    UNITED KINGDOM
    Phone
    +4401422377737

What this firm is allowed to do

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

  • 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
    • · 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.

  • 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
    • · 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 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
    • · 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.

  • Insurance Admin

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

  • Credit Brokering

  • Stockbroking

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

  • Debt Advice

    Show 2 limitations
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.
    • · This permission is limited to debt counselling which is provided in connection with investment advice.

  • 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
    • · 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.

  • Ian Gareth Sheppard

    IRN IGS01033

    • SMF3 Executive Director (since 13 May 2020)
  • John Charles Egbert Smith

    IRN JCS00029

    • CF1 Director (AR) (1 May 2008 to 1 Jun 2012)
    • CF30 Customer (1 Nov 2007 to 10 Oct 2013)
    • Responsible for Insurance Mediation (14 Jan 2005 to 1 Nov 2008)
    • CF11 Money Laundering Reporting (11 Sep 2003 to 1 Nov 2008)
    • CF24 Pension Transfer Specialist (8 Jul 2002 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Nov 2008)
    • CF10 Compliance Oversight (1 Dec 2001 to 4 Feb 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 1 Jun 2012)
  • John Eastwood

    IRN JXE00058

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (AR) (1 May 2008 to 24 Sep 2013)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • John Howard Granton

    IRN JHG00004

    • CF30 Customer (1 May 2008 to 5 Apr 2011)
    • CF1 Director (AR) (1 May 2008 to 1 Nov 2009)
    • CF1 Director (10 Jan 2008 to 1 Nov 2009)
  • John Michael Bramwell

    IRN JMB00033

    • CF30 Customer (17 Oct 2017 to 31 Dec 2018)
  • John Richard Smith

    IRN JRS00068

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2023)
    • CF1 Director (AR) (1 May 2008 to 24 Sep 2013)
    • CF30 Customer (1 May 2008 to 8 Dec 2019)
    • CF1 Director (10 Jan 2008 to 6 Dec 2019)
  • John Warwick Busfield

    IRN WXB00029

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Aug 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 12 Aug 2022)
    • CF30 Customer (11 Jan 2016 to 28 Dec 2018)
  • Josephine Daphne Mason

    IRN JDM00048

    • CF30 Customer (1 May 2008 to 21 May 2015)
  • Karen Jane Wynard

    IRN KJW01085

    • 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 9 Dec 2019)
    • 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] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (3 Apr 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (29 Jun 2015 to 10 Mar 2016)
    • CF11 Money Laundering Reporting (29 Jun 2015 to 3 Aug 2015)
    • CF1 Director (22 Jun 2012 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (27 Oct 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (2 Sep 2003 to 21 Oct 2005)
  • Karen Spark

    IRN KXS01551

    • Responsible for Insurance Mediation (15 Mar 2016 to 20 Mar 2017)
    • CF10 Compliance Oversight (9 Nov 2015 to 20 Mar 2017)
    • CF11 Money Laundering Reporting (9 Nov 2015 to 20 Mar 2017)
    • CF1 Director (27 Jul 2015 to 20 Mar 2017)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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