Ellis Lloyd Jones (Financial Services) Limited

• Principal Place of Business

  11 Park Square

  Newport

  Newport

  NP20 4EL

  UNITED KINGDOM

  Phone

  +4401633841863

  Web

  http://www.ellislloydjones.co.uk/our-financial-services/

• Complaints Contact

  11 Park Square

  Newport

  Newport

  NP20 4EL

  UNITED KINGDOM

  Phone

  +4401633841863

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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 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

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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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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 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

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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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Credit Brokering

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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 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.

• Basic Pension Advice

  For Retail (Investment), Stakeholder products

• Andrew Paul O'Brien

  IRN APO00001

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • Responsible for Insurance Mediation (5 Jul 2010 to 30 Sep 2018)
  • CF1 Director (5 Jul 2010 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (10 May 2007 to 31 Oct 2007)
• Anthony William Preece

  IRN AWP00010

  • CF30 Customer (1 Nov 2007 to 24 Dec 2010)
  • CF21 Investment Adviser (10 May 2007 to 31 Oct 2007)
• Gareth Lloyd Evans

  IRN GLE00002

  • CF30 Customer (26 Mar 2010 to 26 Mar 2010)
• Kara Marie Williams

  IRN KMW01070

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (5 Jul 2010 to 8 Dec 2019)
• Keri Coslett Jones

  IRN KCJ01002

  • CF1 Director (10 May 2007 to 23 Aug 2018)
• Neville Trevor Ellis

  IRN NTE01003

  • Responsible for Insurance Mediation (10 May 2007 to 9 Sep 2011)
  • CF8 Apportionment and Oversight (10 May 2007 to 31 Mar 2009)
  • CF10 Compliance Oversight (10 May 2007 to 9 Sep 2011)
  • CF1 Director (10 May 2007 to 24 Aug 2013)
• Paul Phillis

  IRN PXP01179

  • CF1 Director (10 May 2007 to 30 Jun 2007)
  • CF11 Money Laundering Reporting (10 May 2007 to 30 Jun 2007)
• Richard David Ellis

  IRN RDE01025

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF10 Compliance Oversight (20 Sep 2011 to 8 Dec 2019)
  • CF1 Director (10 Sep 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (10 Sep 2007 to 8 Dec 2019)

No changes recorded yet.