Finli (FLP) Ltd

• Principal Place of Business

  Lodge Court

  Neston Road

  Thornton Hough

  Wirral

  Merseyside

  CH63 1JF

  UNITED KINGDOM

  Phone

  +441513292272

  Web

  https://www.finli.co.uk

• Complaints Contact

  Lodge Court

  Neston Road

  Thornton Hough

  Wirral

  Merseyside

  CH63 1JF

  UNITED KINGDOM

  Phone

  +441513292272

• Buy-to-Let Mortgage Advice

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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

  Show 2 limitations Hide limitations

  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

• 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

• Equity Release Setup

  For Customer, Home reversion plans

• 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.

• Gareth John Higton

  IRN GJH01185

  • SMF3 Executive Director (1 Apr 2022 to 27 Jan 2026)
  • [FCA CF] Client dealing (20 Oct 2021 to 5 Feb 2026)
  • [FCA CF] Functions requiring qualifications (20 Oct 2021 to 5 Feb 2026)
• Jacqueline Carol Williams

  IRN JCW00075

  • 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 26 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 26 Jul 2021)
• Jenny Rebekah Zara Allen

  IRN JXA00338

  • 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 1 Jun 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2023)
• Lee Anthony Travis

  IRN LAT00014

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 20 Oct 2021)
  • [FCA CF] Functions requiring qualifications (since 20 Oct 2021)
• Liam Tomlinson

  IRN LXT00050

  • 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 1 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2024)
• Linda Fleming

  IRN LXF01199

  • 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 1 Mar 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2023)
• Mark French

  IRN MXF00097

  • [FCA CF] Functions requiring qualifications (29 Mar 2022 to 12 Aug 2022)
• Martin Sharp

  IRN MJS00086

  • [FCA CF] Functions requiring qualifications (23 Mar 2022 to 18 Sep 2023)
  • [FCA CF] Client dealing (23 Mar 2022 to 18 Sep 2023)
• Matthew Taylor

  IRN MXT01262

  • [FCA CF] Client dealing (1 Nov 2021 to 10 Feb 2025)
  • [FCA CF] Functions requiring qualifications (1 Nov 2021 to 10 Feb 2025)
• Richard Phillip Knott

  IRN RPK00003

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Oct 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 14 Sep 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Sep 2021)
  • SMF3 Executive Director (9 Dec 2019 to 14 Sep 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 14 Sep 2021)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 14 Sep 2021)
  • CF1 Director (4 Dec 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (4 Dec 2012 to 8 Dec 2019)
  • CF30 Customer (4 Dec 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 Dec 2012 to 8 Dec 2019)
  • Responsible for Insurance Mediation (4 Dec 2012 to 30 Sep 2018)

• Financial Chambers (North West) Limited (no longer appointed)

  FRN 778107 · Appointed 19 Sep 2021 · Until 4 Aug 2023

No changes recorded yet.