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

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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.

• 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

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  • · 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.

• Robert John Whittle

  IRN RJW00046

  • [FCA CF] Client dealing (16 May 2022 to 18 Aug 2023)
  • [FCA CF] Functions requiring qualifications (16 May 2022 to 18 Aug 2023)
• Ross Alexander Welsh

  IRN RXW00566

  • 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 28 May 2024)
  • [FCA CF] Client dealing (since 28 May 2024)
• Samuel Thomas Braidford

  IRN SXB03826

  • 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 28 May 2024)
  • [FCA CF] Functions requiring qualifications (since 28 May 2024)
• Steven Braidford

  IRN SXB00066

  • 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 21 Oct 2021)
  • SMF3 Executive Director (since 30 Apr 2021)
  • [FCA CF] Significant management (since 11 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 11 Feb 2021)
  • Responsibility for MCD Intermediation (30 Apr 2021 to 10 Feb 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (30 Apr 2021 to 10 Feb 2025)
  • SMF16 Compliance Oversight (30 Apr 2021 to 10 Feb 2025)
  • Responsible for Insurance Distribution (30 Apr 2021 to 10 Feb 2025)
  • [FCA CF] Manager of certification employee (11 Feb 2021 to 21 Oct 2021)
• Steven Poulton

  IRN SXP01938

  • Responsible for Insurance Distribution (since 10 Mar 2025)
  • Responsibility for MCD Intermediation (since 5 Feb 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Feb 2025)
  • SMF3 Executive Director (since 5 Feb 2025)
  • SMF16 Compliance Oversight (since 5 Feb 2025)
• William Elkin

  IRN WXE00012

  • SMF17 Money Laundering Reporting Officer (MLRO) (28 Feb 2022 to 20 Jan 2023)
  • Responsibility for MCD Intermediation (28 Feb 2022 to 20 Jan 2023)
  • Responsible for Insurance Distribution (28 Feb 2022 to 20 Jan 2023)
  • SMF16 Compliance Oversight (28 Feb 2022 to 20 Jan 2023)
• William John Ward

  IRN WJW00010

  • 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 16 May 2022)
  • [FCA CF] Functions requiring qualifications (since 16 May 2022)

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

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

No changes recorded yet.