FINLI (FA92) LIMITED

• Principal Place of Business

  12A Duke Street

  Royal Sutton Coldfield

  B72 1RJ

  UNITED KINGDOM

  Phone

  +4403451849292

  Web

  https://www.finli.co.uk

• Complaints Contact

  12A Duke Street

  Royal Sutton Coldfield

  B72 1RJ

  UNITED KINGDOM

  Phone

  +4403451849292

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

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  • · Firm is permitted to carry on this activity in relation to first charge mortgages only

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

  Show 1 limitation Hide limitations

  • · Firm is permitted to carry on this activity in relation to first charge mortgages only

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

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

• 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

  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.

• James Hendry MacDonald

  IRN JHM00002

  • [FCA CF] Manager of certification employee (22 Jun 2023 to 29 Feb 2024)
• James John Jenkins

  IRN JXJ00352

  • 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 19 Mar 2026)
  • [FCA CF] Functions requiring qualifications (since 19 Mar 2026)
• James Robert Bryce

  IRN JRB00031

  • SMF3 Executive Director (since 4 Sep 2024)
• James Wesley Mellor

  IRN JWM01139

  • 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 7 Dec 2023)
  • [FCA CF] Functions requiring qualifications (since 7 Dec 2023)
• Jonathan Elia Lopian

  IRN JEL01142

  • [FCA CF] Material risk taker (9 Dec 2019 to 5 Apr 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Apr 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 5 Apr 2024)
  • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
• Kirsty Elizabeth Grainger

  IRN KXG00140

  • [FCA CF] Client dealing (23 Mar 2022 to 31 Mar 2023)
  • [FCA CF] Material risk taker (23 Mar 2022 to 4 Oct 2023)
  • [FCA CF] Significant management (23 Mar 2022 to 4 Oct 2023)
• Larry Lipschitz

  IRN LXL00111

  • Director of firm who is not a certification employee or a SMF manager (30 Mar 2021 to 25 Aug 2022)
• Lewis Barry Bloch

  IRN LBB00002

  • CF2 Non Executive Director (27 Dec 2018 to 21 May 2019)
• Mark James Knight Cooper

  IRN MJC00058

  • 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
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 31 Jul 2025)
  • [FCA CF] Client dealing (since 31 Jul 2025)
  • Appointed representative dealing with clients for which they require qualification (25 Mar 2025 to 31 Jul 2025)
• Mark Peter Turner

  IRN MPT00022

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 7 Dec 2023)
  • [FCA CF] Client dealing (since 7 Dec 2023)

No changes recorded yet.