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.

• Diarmuid Lavery

  IRN DXL01836

  • SMF16 Compliance Oversight (12 May 2020 to 25 May 2022)
• Douglas John MacKie

  IRN DJM00072

  • CF2 Non Executive Director (1 Dec 2004 to 8 Jun 2012)
• Edward John Gavin White

  IRN EJW01060

  • 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] Manager of certification employee (since 10 Jan 2022)
  • [FCA CF] Functions requiring qualifications (since 15 Feb 2021)
  • [FCA CF] Client dealing (since 28 Jan 2021)
  • CF30 Customer (24 Jul 2017 to 8 Dec 2019)
• Fiona Constance Brydon Middlemiss

  IRN FCM00002

  • SMF3 Executive Director (30 Sep 2022 to 1 May 2025)
  • SMF16 Compliance Oversight (24 May 2022 to 1 May 2025)
  • Responsible for Insurance Distribution (26 Jan 2022 to 1 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (26 Jan 2022 to 1 May 2025)
  • [FCA CF] Functions requiring qualifications (15 Feb 2021 to 7 Feb 2025)
  • [FCA CF] Manager of certification employee (1 Feb 2021 to 1 May 2025)
  • [FCA CF] Client dealing (1 Feb 2021 to 7 Feb 2025)
• Fiona Mary Reid Green

  IRN FMT00001

  • 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 22 Feb 2023)
  • [FCA CF] Client dealing (since 22 Feb 2023)
• Gordon Alexander Young

  IRN GAY01009

  • [FCA CF] Functions requiring qualifications (15 Feb 2021 to 3 Nov 2023)
  • [FCA CF] Client dealing (28 Jan 2021 to 3 Nov 2023)
  • CF30 Customer (3 Oct 2016 to 8 Dec 2019)
• Graeme Robertson

  IRN GXR00016

  • [FCA CF] Client dealing (17 Sep 2020 to 24 Nov 2023)
  • [FCA CF] Functions requiring qualifications (17 Sep 2020 to 24 Nov 2023)
• Iain Pollock

  IRN IXP00002

  • CF30 Customer (1 Nov 2007 to 22 Nov 2013)
  • CF21 Investment Adviser (1 Dec 2004 to 31 Oct 2007)
• Ivan Ahern

  IRN IXA00079

  • Director of firm who is not a certification employee or a SMF manager (since 7 Mar 2022)
• Jason Quilty

  IRN JXQ70456

  • SMF3 Executive Director (since 22 May 2020)
  • SMF1 Chief Executive (since 22 May 2020)
  • Responsible for Insurance Distribution (17 Jun 2020 to 7 Jan 2022)

No changes recorded yet.