ELM TREE FINANCIAL SERVICES LTD

• Principal Place of Business

  2 Holes Lane

  Woolston

  Warrington

  Cheshire

  WA1 4LZ

  UNITED KINGDOM

  Phone

  +441925815555

  Web

  https://www.elmtreeifa.co.uk

• Complaints Contact

  2 Holes Lane

  Woolston

  Warrington

  Cheshire

  WA1 4LZ

  UNITED KINGDOM

  Phone

  +441925815555

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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, 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, 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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

• 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, 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.

• Andrew John Mason

  IRN AJM00107

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [PRA CF] Key function holder (since 9 Dec 2019)
  • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF10 Compliance Oversight (10 May 2013 to 8 Dec 2019)
  • CF30 Customer (29 Jan 2010 to 31 Dec 2012)
  • CF1 Director (29 Jan 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (29 Jan 2010 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (29 Jan 2010 to 8 Dec 2019)
• Gary Christopher Moore

  IRN GCM00003

  • CF1 Director (29 Jan 2010 to 18 May 2011)
  • CF10 Compliance Oversight (29 Jan 2010 to 18 May 2011)
  • CF30 Customer (29 Jan 2010 to 18 May 2011)
• Gemma Victoria Carver

  IRN GXC00246

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
  • [FCA CF] Client dealing (since 1 Mar 2021)
• Joel Christopher Wood

  IRN JCW01183

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• John Charles Kirk

  IRN JCK00001

  • CF30 Customer (18 Apr 2013 to 9 Dec 2014)
• Joshua Barlow

  IRN JXB03614

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2024)
  • CF30 Customer (10 Oct 2017 to 8 Dec 2019)
• Kevin Mark Barlow

  IRN KXB00083

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [PRA CF] Key function holder (since 9 Dec 2019)
  • CF1 Director (29 Jan 2010 to 8 Dec 2019)
  • CF30 Customer (29 Jan 2010 to 31 Dec 2012)
• Marie Alexandra Meagher

  IRN MAM00066

  • CF30 Customer (12 Jun 2013 to 8 Dec 2019)
• Michael John Mansfield-Corbett

  IRN MJM00079

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Mar 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 13 Mar 2026)
  • CF30 Customer (21 May 2019 to 8 Dec 2019)
• Nicholas Thomas Wasmuth

  IRN NTW01005

  • CF30 Customer (6 Mar 2014 to 29 Apr 2014)

No changes recorded yet.