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

  Show 2 limitations Hide 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 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.

• 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 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.

• 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

  Show 1 limitation Hide limitations

  • · 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

  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.

• Kenneth Laughlin Fairbairn

  IRN KLF01032

  • CF30 Customer (1 May 2012 to 28 Feb 2014)
• Leslie Robert Forman

  IRN LRF00008

  • CF30 Customer (27 Oct 2008 to 25 May 2012)
• Liam Martin Doyle

  IRN LMD01066

  • CF30 Customer (13 Feb 2017 to 16 Mar 2018)
• Mairi Rodger

  IRN MXR01588

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Jul 2025)
  • Responsible for Insurance Distribution (since 25 Jul 2025)
  • SMF16 Compliance Oversight (since 25 Jul 2025)
• Micheal Joseph Carroll

  IRN MXC01794

  • Responsible for Insurance Distribution (18 May 2020 to 15 Jun 2020)
  • SMF3 Executive Director (9 Dec 2019 to 1 Apr 2026)
  • CF1 Director (1 Jul 2019 to 8 Dec 2019)
  • CF2 Non Executive Director (10 May 2016 to 6 Nov 2019)
• Neil Stuart McDowall

  IRN NSM01041

  • 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] Client dealing (since 12 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 12 Sep 2024)
• Patrick James Flanagan

  IRN PJF01178

  • CF2 Non Executive Director (2 Jul 2012 to 6 Jun 2017)
• Patrick Ryan

  IRN PXR00119

  • Director of firm who is not a certification employee or a SMF manager (22 Feb 2021 to 31 Dec 2023)
• Rachel Jones

  IRN RXJ00081

  • 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 1 Feb 2021)
• Rhys Asghar

  IRN RXA22853

  • [FCA CF] Functions requiring qualifications (16 Sep 2020 to 27 Oct 2023)
  • [FCA CF] Client dealing (16 Sep 2020 to 27 Oct 2023)

No changes recorded yet.