EQUITAS FINANCIAL (UK) LIMITED

• Principal Place of Business

  36 Mannamead Road

  Plymouth

  Devon

  PL4 7AF

  UNITED KINGDOM

  Phone

  +441752221188

  Web

  https://www.equitasfinancial.net

• Complaints Contact

  Geoffrey Ribbons

  36 Mannamead Road

  Plymouth

  Devon

  PL4 7AF

  UNITED KINGDOM

  Phone

  +441752221188

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

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  • · The firm may not broker credit for the purpose of increasing funds available for investment

• Debt Advice

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  • · This permission is limited to debt counselling which is provided in connection with investment advice or home finance advice
  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Consumer Loans

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  • · Limited to lending that is in connection with the repayment of fees which are only for ongoing services, or in respect of initial adviser charges for regular premium products
  • · Limited to lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement

• Loan Servicing

• 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

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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.

• Credit Score Services

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  • · Limited to the provision of credit information services with no credit repair (as defined by 89A(3)(c) and (d) Regulated Activities Order)

• Antony Churchill Earl

  IRN ACE01032

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
  • [FCA CF] Client dealing (since 2 Nov 2020)
  • CF30 Customer (28 Apr 2014 to 8 Dec 2019)
• Cherry Hudson

  IRN CLH01096

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 11 Dec 2024)
  • [FCA CF] Functions requiring qualifications (since 11 Dec 2024)
• Daniel Paul Aslett

  IRN DXA00073

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
  • [FCA CF] Client dealing (since 2 Nov 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (28 Apr 2014 to 8 Dec 2019)
  • CF30 Customer (28 Apr 2014 to 19 Nov 2021)
• Darren James Courtnell

  IRN DJC00170

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
  • [FCA CF] Client dealing (since 2 Nov 2020)
  • CF30 Customer (28 Apr 2014 to 8 Dec 2019)
• David Robert Burch

  IRN DRB00020

  • [FCA CF] Functions requiring qualifications (2 Nov 2020 to 7 May 2025)
  • [FCA CF] Client dealing (2 Nov 2020 to 7 May 2025)
  • CF30 Customer (2 Jun 2014 to 19 Nov 2021)
• Gary Tromans

  IRN GXT00097

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
  • [FCA CF] Client dealing (since 2 Nov 2020)
  • CF30 Customer (28 Apr 2014 to 8 Dec 2019)
• Geoffrey Clive Charles Ribbons

  IRN GCR00007

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 2 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • Responsible for Insurance Mediation (28 Apr 2014 to 30 Sep 2018)
  • CF30 Customer (28 Apr 2014 to 19 Nov 2021)
  • CF11 Money Laundering Reporting (28 Apr 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (28 Apr 2014 to 8 Dec 2019)
  • CF1 Director (28 Apr 2014 to 8 Dec 2019)
• James Terry Barkell

  IRN JTB01055

  • 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)
  • [FCA CF] Client dealing (since 2 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
  • CF30 Customer (25 Jun 2015 to 19 Nov 2021)
• James William Matheson

  IRN JXM00984

  • 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)
  • [FCA CF] Client dealing (since 23 Apr 2024)
  • [FCA CF] Functions requiring qualifications (since 17 Feb 2022)
• John Anthony Bruce Hurson

  IRN JAH01321

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 2 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
  • CF30 Customer (28 Apr 2014 to 19 Nov 2021)

• One Plus One Financial Planning Limited (no longer appointed)

  FRN 841656 · Appointed 9 May 2019 · Until 29 Nov 2021

No changes recorded yet.