Expert Financial Solutions Ltd

• Principal Place of Business

  West Wing

  The Old Dairy

  High Cogges

  Witney

  Oxfordshire

  OX29 6UN

  UNITED KINGDOM

  Phone

  +4401993772467

  Web

  http://www.expertwealth.co.uk

• Complaints Contact

  West Wing

  The Old Dairy

  High Cogges

  Witney

  Oxfordshire

  OX29 6UN

  UNITED KINGDOM

  Phone

  +4401993772467

• 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

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  • · 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

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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.

• 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

  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.

• Daniel Peter Evans

  IRN DXE00139

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 24 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 24 Jul 2023)
• Dominic Ellis Spalding

  IRN DES00027

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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] 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)
  • CF11 Money Laundering Reporting (3 Mar 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (10 May 2005 to 8 Dec 2019)
  • CF1 Director (10 May 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (16 Oct 2004 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (16 Oct 2004 to 31 Oct 2007)
• Harry Egginton

  IRN HXE00102

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 14 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 14 Feb 2025)
• Jane Rosemary Mudge

  IRN JRM00074

  • CF2 Non Executive Director (8 Oct 2004 to 29 Apr 2005)
• Jonathan Peter James Hunt

  IRN JPH00001

  • 9A. Advising on P2P agreements
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Significant management (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)
  • CF1 Director (8 Oct 2004 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Oct 2004 to 29 Apr 2005)
  • CF21 Investment Adviser (8 Oct 2004 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (8 Oct 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (8 Oct 2004 to 31 Mar 2009)
  • CF10 Compliance Oversight (8 Oct 2004 to 29 Apr 2005)
• Peter Wickson

  IRN PXW00088

  • CF30 Customer (1 Nov 2007 to 27 Feb 2009)
  • CF11 Money Laundering Reporting (17 May 2005 to 27 Feb 2009)
  • CF1 Director (17 May 2005 to 27 Feb 2009)
  • CF21 Investment Adviser (22 Oct 2004 to 31 Oct 2007)
• Rachael Lucy Neller

  IRN RXN00188

  • [FCA CF] Functions requiring qualifications (18 Jan 2023 to 21 Mar 2023)
• Ryan Pettitt

  IRN RXP00569

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2026)
  • [FCA CF] Client dealing (since 1 Apr 2026)

No changes recorded yet.