EIS FINANCIAL SERVICES LIMITED

• Principal Place of Business

  6 Clairmont Gardens

  Glasgow

  Lanarkshire

  G3 7LW

  UNITED KINGDOM

  Phone

  +441413328004

  Web

  http://www.eisfs.co.uk

• Complaints Contact

  6 Clairmont Gardens

  Glasgow

  Lanarkshire

  G3 7LW

  UNITED KINGDOM

  Phone

  +441413328004

• 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

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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 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

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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 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

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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.

• Insurance Admin

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

• Credit Brokering

• Stockbroking

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

• Debt Advice

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

• Investment Setup

  For 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

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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.

• Alan Keith Munro

  IRN AKM01048

  • CF2 Non Executive Director (1 Dec 2004 to 6 Jun 2017)
• Alastair Buchanan Cook

  IRN ABC00001

  • CF30 Customer (1 Nov 2007 to 29 Nov 2019)
  • CF21 Investment Adviser (1 Dec 2004 to 31 Oct 2007)
• Alison Elizabeth Robertson Thornton

  IRN AET01062

  • CF2 Non Executive Director (13 Jun 2017 to 8 Dec 2019)
• Allan Lees

  IRN AXL01633

  • 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] Functions requiring qualifications (since 15 Feb 2021)
  • [FCA CF] Client dealing (since 28 Jan 2021)
  • CF30 Customer (16 Jan 2014 to 8 Dec 2019)
• Andrew William Scouller

  IRN AWS01099

  • [FCA CF] Functions requiring qualifications (15 Feb 2021 to 28 May 2021)
  • [FCA CF] Client dealing (28 Jan 2021 to 28 May 2021)
  • CF30 Customer (15 Oct 2014 to 8 Dec 2019)
• Barry Cunningham

  IRN BXC00053

  • 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] Functions requiring qualifications (since 10 Jul 2025)
  • [FCA CF] Client dealing (since 10 Jul 2025)
• Christopher Grant Bain

  IRN CXB00062

  • Responsible for Insurance Distribution (1 Oct 2018 to 24 May 2019)
  • Responsible for Insurance Mediation (3 Nov 2016 to 30 Sep 2018)
  • CF10 Compliance Oversight (1 Sep 2016 to 24 May 2019)
  • CF1 Director (1 Sep 2016 to 24 May 2019)
  • CF11 Money Laundering Reporting (1 Sep 2016 to 24 May 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2004 to 31 Oct 2007)
• Colin Murdo MacKenzie

  IRN CMM00012

  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Dec 2020 to 10 Aug 2021)
  • CF2 Non Executive Director (1 Dec 2004 to 8 Dec 2019)
• Danielle Griffiths

  IRN DXG00331

  • [FCA CF] Functions requiring qualifications (24 Jan 2022 to 24 Feb 2023)
  • [FCA CF] Client dealing (24 Jan 2022 to 24 Feb 2023)
• Dawn Margaret Dennington

  IRN DMW01134

  • [FCA CF] Manager of certification employee (since 5 Apr 2022)

No changes recorded yet.