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.

• Richard Hemsley

  IRN RXH01719

  • [FCA CF] Functions requiring qualifications (15 Feb 2021 to 19 Mar 2024)
  • [FCA CF] Client dealing (28 Jan 2021 to 19 Mar 2024)
  • CF30 Customer (27 Sep 2017 to 8 Dec 2019)
• Richard James Petrie

  IRN RJP00090

  • CF30 Customer (1 Nov 2007 to 1 Aug 2008)
  • CF21 Investment Adviser (16 Dec 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2004 to 16 Dec 2005)
• Roddy Murphy

  IRN RXM02303

  • Director of firm who is not a certification employee or a SMF manager (22 Feb 2021 to 30 Apr 2024)
  • CF2 Non Executive Director (29 Mar 2016 to 8 Dec 2019)
• Ross Adams

  IRN RXA02262

  • [FCA CF] Functions requiring qualifications (24 Jan 2022 to 1 Nov 2024)
  • [FCA CF] Client dealing (24 Jan 2022 to 1 Nov 2024)
• Scott Alexander Grant

  IRN SAG00004

  • Responsible for Insurance Mediation (14 Jan 2005 to 31 Aug 2016)
  • CF8 Apportionment and Oversight (1 Dec 2004 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (1 Dec 2004 to 31 Aug 2016)
  • CF10 Compliance Oversight (1 Dec 2004 to 31 Aug 2016)
  • CF1 Director (1 Dec 2004 to 31 Aug 2016)
• Stephanie White

  IRN SXW00736

  • [FCA CF] Functions requiring qualifications (31 Jan 2023 to 20 Oct 2023)
  • [FCA CF] Client dealing (31 Jan 2023 to 20 Oct 2023)
• Steven McGregor Haldane

  IRN SMH00020

  • 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 11 Mar 2025)
  • [FCA CF] Functions requiring qualifications (since 11 Mar 2025)
• Susan Quinn

  IRN SXQ01086

  • CF2 Non Executive Director (8 Jun 2017 to 8 Dec 2019)
• Tracey Margaret Deeks

  IRN TMD01063

  • Director of firm who is not a certification employee or a SMF manager (since 3 Mar 2021)

No changes recorded yet.