Estate Capital Financial Management Limited

• Principal Place of Business

  7 Uplands Crescent

  Uplands

  Swansea

  Abertawe

  SA2 0PA

  WALES

  Phone

  +4401792477763

  Web

  https://www.estatecapital.co.uk

• Complaints Contact

  7 Uplands Crescent

  Uplands

  Swansea

  West Glamorgan

  SA2 0PA

  UNITED KINGDOM

  Phone

  +4401792477763

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

  Show 1 limitation Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• 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

  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 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.

• 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.

• Adam James Bexson

  IRN AJB01592

  • CF22 Investment Adviser (Trainee) (13 Jun 2006 to 5 Apr 2007)
• Christopher Gareth Davies

  IRN CXD00047

  • 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 1 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (5 Oct 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (5 Oct 2004 to 8 Dec 2019)
  • CF1 Director (5 Oct 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (5 Oct 2004 to 31 Mar 2009)
  • CF21 Investment Adviser (5 Oct 2004 to 31 Oct 2007)
• Christopher Powell-Thomas

  IRN CXP00008

  • CF21 Investment Adviser (14 Nov 2005 to 16 Mar 2007)
• Jill Susan Delgado

  IRN JSD00021

  • CF30 Customer (1 Nov 2007 to 7 Dec 2009)
  • CF24 Pension Transfer Specialist (5 Oct 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (5 Oct 2004 to 31 Oct 2007)
• Kevin Roderick Jones

  IRN KRJ01021

  • 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 1 Jan 2020)
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
• Kimberley Sare

  IRN KXG01342

  • CF30 Customer (1 Jan 2011 to 22 Dec 2011)
• Michael John Williamson

  IRN MJW00004

  • CF21 Investment Adviser (14 Nov 2005 to 20 Mar 2006)
• Nicholas Trenham Weatherhead

  IRN NXW01123

  • CF21 Investment Adviser (14 Nov 2005 to 20 Mar 2006)
• Philip David Johnson

  IRN PDJ01057

  • 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 1 Jan 2020)
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • CF30 Customer (11 Mar 2015 to 8 Dec 2019)
• Polina Jenkins

  IRN PXJ01268

  • CF30 Customer (1 Mar 2008 to 30 May 2008)

• Evergreen Financial Consultancy Limited (no longer appointed)

  FRN 440540 · Appointed 12 Oct 2005 · Until 30 Mar 2006

No changes recorded yet.