FINANCIAL AFFAIRS WEALTH SOLUTIONS LIMITED

• Principal Place of Business

  36A

  Northlight

  Northlight Parade

  Pendle

  BB9 5EG

  UNITED KINGDOM

  Phone

  +4401282452255

  Web

  https://www.financialaffairs.co.uk

• Complaints Contact

  36A

  Northlight

  Northlight Parade

  Pendle

  BB9 5EG

  UNITED KINGDOM

  Phone

  +4407900951057

• P2P Lending Advice

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

• 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.

• 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.

• Debt Advice

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

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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.

• Alan David Walsh

  IRN ADW01147

  • 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
  • SMF3 Executive Director (since 19 May 2023)
  • [FCA CF] Client dealing (since 18 May 2023)
  • [FCA CF] Functions requiring qualifications (since 18 May 2023)
• Andrew David Howson

  IRN ADH01110

  • 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 5 Jan 2026)
  • [FCA CF] Functions requiring qualifications (since 5 Jan 2026)
• Anthony Alexander Decunha

  IRN AAD01024

  • [FCA CF] Client dealing (30 Nov 2020 to 30 Apr 2025)
  • [FCA CF] Functions requiring qualifications (30 Nov 2020 to 30 Apr 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Apr 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Apr 2023)
  • SMF3 Executive Director (9 Dec 2019 to 28 Apr 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 28 Apr 2023)
  • CF1 Director (18 Nov 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (18 Nov 2013 to 30 Sep 2018)
  • CF30 Customer (18 Nov 2013 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (18 Nov 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (18 Nov 2013 to 8 Dec 2019)
• Ashley King

  IRN AXK09988

  • 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 18 May 2023)
  • [FCA CF] Functions requiring qualifications (since 18 May 2023)
• Harley Clarke

  IRN HXC13391

  • 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 18 May 2023)
  • [FCA CF] Functions requiring qualifications (since 18 May 2023)
• James Jordan Brown

  IRN JXB00514

  • 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 18 May 2023)
  • [FCA CF] Client dealing (since 18 May 2023)
• Joanne Michelle DeCunha

  IRN JMD01281

  • SMF3 Executive Director (9 Dec 2019 to 28 Apr 2023)
  • CF1 Director (18 Nov 2013 to 8 Dec 2019)
• Laurence Christian O'Connor

  IRN LCO01016

  • 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
  • SMF16 Compliance Oversight (since 19 May 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 19 May 2023)
  • SMF3 Executive Director (since 19 May 2023)
  • Responsible for Insurance Distribution (since 19 May 2023)
  • [FCA CF] Client dealing (since 18 May 2023)
  • [FCA CF] Functions requiring qualifications (since 18 May 2023)
• Lisa Pearce

  IRN LXS37815

  • [FCA CF] Functions requiring qualifications (14 Aug 2024 to 14 Oct 2025)
  • [FCA CF] Client dealing (14 Aug 2024 to 14 Oct 2025)
• Matthew James Brown

  IRN MXB00549

  • [FCA CF] Client dealing (18 May 2023 to 31 Jul 2024)
  • [FCA CF] Functions requiring qualifications (18 May 2023 to 31 Jul 2024)

No changes recorded yet.