FINLI (SCOTLAND) LIMITED

• Principal Place of Business

  Ground Floor

  Pavilion 3

  Finnieston Business Park

  4 Minerva Way

  Glasgow

  G3 8AU

  UNITED KINGDOM

  Phone

  +441413532124

  Web

  https://www.finli.co.uk

• Complaints Contact

  Ground Floor

  Pavilion 3

  Finnieston Business Park

  4 Minerva Way

  Glasgow

  G3 8AU

  UNITED KINGDOM

  Phone

  +441413532124

• 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, 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 pension policies with a Guaranteed Annuity Rate.

• 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

• 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · 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), 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.

• Credit Score Services

  Show 1 limitation Hide limitations

  • · This permission is limited to not carrying out credit repair services

• Frank Alexander Gillone

  IRN FAG00002

  • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
  • CF21 Investment Adviser (23 Feb 2005 to 31 Oct 2007)
• Frazer McInnes Gourlay

  IRN FXG00124

  • 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 5 Dec 2024)
  • [FCA CF] Client dealing (since 5 Dec 2024)
• Gavin Inglis Hutchison

  IRN GIH00003

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (6 Jan 2005 to 31 Oct 2007)
• Gordon Watson

  IRN GXW00069

  • 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 4 Feb 2025)
  • [FCA CF] Client dealing (since 4 Feb 2025)
• Graeme Shakeshaft

  IRN GXS00120

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (6 Feb 2008 to 8 Dec 2019)
• Graham Buchanan Lennox

  IRN GBL01011

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (AR) (since 20 Aug 2013)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Oct 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Oct 2025)
  • Responsible for Insurance Distribution (1 Oct 2018 to 1 Oct 2025)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 1 Oct 2025)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Nov 2004 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (1 Nov 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Nov 2004 to 31 Mar 2009)
  • CF1 Director (1 Nov 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Nov 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Nov 2004 to 31 Oct 2007)
• Jack Lattimer Kerr

  IRN JLK00003

  • CF30 Customer (3 Feb 2014 to 16 Mar 2015)
• James McLaughlin

  IRN JXM00061

  • CF30 Customer (8 Dec 2011 to 6 Mar 2012)
• Jennifer Suzanne Davy

  IRN JXD00968

  • 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 5 Dec 2024)
  • [FCA CF] Client dealing (since 5 Dec 2024)
• Joanne Amy Wright

  IRN JXW01206

  • [FCA CF] Functions requiring qualifications (12 Feb 2025 to 9 Jun 2025)
  • [FCA CF] Client dealing (12 Feb 2025 to 9 Jun 2025)

• FINLI (ORKNEY) LIMITED

  FRN 605316 · Appointed 2 Aug 2013

• AFS Financial Planners Ltd (no longer appointed)

  FRN 611211 · Appointed 3 Dec 2013 · Until 17 Mar 2015

• Colin Syme Financial Services Ltd (no longer appointed)

  FRN 224795 · Appointed 25 Jun 2007 · Until 31 Mar 2011

No changes recorded yet.