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

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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

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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.

• Mark Robert Rose

  IRN MRR00011

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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)
• Matthew Taylor

  IRN MXT01262

  • 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] Functions requiring qualifications (since 31 Jan 2025)
  • [FCA CF] Client dealing (since 31 Jan 2025)
• Michael Andrew Walton

  IRN MAW00019

  • [FCA CF] Material risk taker (1 Dec 2020 to 28 Apr 2023)
• Michael John Bell

  IRN MJB00103

  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 May 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF3 Chief Executive (1 Dec 2001 to 1 May 2008)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 30 Mar 2019)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 May 2008)
  • CF10 Compliance Oversight (1 Dec 2001 to 23 Oct 2003)
• Michelle Dodd

  IRN MXD01648

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 Feb 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 12 Feb 2020)
  • CF10 Compliance Oversight (18 Jun 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (18 Jun 2019 to 8 Dec 2019)
• Neil Spirit

  IRN NDS01057

  • [FCA CF] Manager of certification employee (23 Jun 2023 to 30 Jun 2025)
• Nicholas John Hampton

  IRN NJH00022

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • 11. Pension transfer specialist
  • [FCA CF] Client dealing (since 1 Oct 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2025)
• Nigel Alan Uwins

  IRN NAU00006

  • CF30 Customer (12 Oct 2009 to 26 May 2017)
• Peter Griffin

  IRN PXG01599

  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2023)
  • Responsible for Insurance Distribution (18 Oct 2018 to 23 Mar 2020)
  • CF1 Director (18 Oct 2018 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (18 Oct 2018 to 23 Mar 2020)
• Philip Anthony Morris

  IRN PAM00021

  • Responsibility for MCD Intermediation (20 Apr 2020 to 22 May 2020)
  • Responsible for Insurance Distribution (20 Apr 2020 to 30 Jun 2023)
  • SMF3 Executive Director (9 Dec 2019 to 23 Sep 2025)
  • CF1 Director (19 Dec 2018 to 8 Dec 2019)

No changes recorded yet.