Eton Square Financial Management Limited

• Principal Place of Business

  64 Knightsbridge

  London

  SW1X 7JP

  UNITED KINGDOM

  Phone

  +4402075903086

• Complaints Contact

  64 Knightsbridge

  London

  SW1X 7JF

  UNITED KINGDOM

  Phone

  +4402075903086

• P2P Lending Advice

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

• 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, 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 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

• Credit Brokering

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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, 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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  • · This permission is limited to not carrying out credit repair services

• Alec Shapiro

  IRN AXS00012

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (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)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 26 Apr 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (12 Oct 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (12 Oct 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (12 Oct 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (12 Oct 2004 to 31 Mar 2009)
  • CF1 Director (12 Oct 2004 to 8 Dec 2019)
• Daren Baynes

  IRN DXB02322

  • CF30 Customer (27 Oct 2014 to 5 Dec 2016)
• Julian Edward Weisz

  IRN JXW00330

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2021)
  • [FCA CF] Client dealing (since 1 Mar 2021)
• Michael Hunt

  IRN MXH00016

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2021)
  • CF30 Customer (12 Oct 2004 to 28 Jan 2013)

No changes recorded yet.