Finsgate LLP

• Principal Place of Business

  Finsgate LLP

  Parallel House

  32 London Road

  Guildford

  Surrey

  GU1 2AB

  UNITED KINGDOM

  Phone

  +442034325564

  Web

  https://www.finsgate.com

• Complaints Contact

  Finsgate LLP

  Parallel House

  32 London Road

  Guildford

  Surrey

  GU1 2AB

  UNITED KINGDOM

  Phone

  +442034325564

• P2P Lending Advice

  For Professional, Retail (Investment)

• 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

  Show 2 limitations 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.
  • · 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, Eligible Counterparty, 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Commercial, Eligible Counterparty, 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.

• Investment Setup

  For Commercial, Eligible Counterparty, 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.

• George Metallinos

  IRN GXM02197

  • 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 2 Jun 2025)
  • [FCA CF] Functions requiring qualifications (since 2 Jun 2025)
• Giorgio Abraini

  IRN GXA01326

  • CF11 Money Laundering Reporting (25 Sep 2012 to 21 Dec 2016)
  • CF30 Customer (16 Nov 2010 to 10 Jul 2018)
• Glenn Victor Stroud

  IRN GXS00488

  • [FCA CF] Client dealing (12 Sep 2022 to 30 Jan 2026)
  • [FCA CF] Functions requiring qualifications (12 Sep 2022 to 30 Jan 2026)
• Iyad Anton Farah

  IRN IAF01003

  • CF30 Customer (29 Sep 2015 to 8 Dec 2015)
• James Andrew Gallagher

  IRN JAG01249

  • 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 8 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2024)
• James Stovell

  IRN JXS00055

  • [FCA CF] Functions requiring qualifications (1 Aug 2022 to 31 Jan 2024)
  • [FCA CF] Client dealing (1 Aug 2022 to 31 Jan 2024)
• Joseph Wadsted

  IRN JPW01210

  • 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
  • CF30 Customer (since 21 Dec 2023)
  • CF1 Director (AR) (since 21 Dec 2023)
  • [FCA CF] Client dealing (since 1 Aug 2022)
  • [FCA CF] Functions requiring qualifications (since 1 Aug 2022)
  • Responsible for Insurance Distribution (since 21 Jul 2022)
  • SMF27 Partner (since 21 Jul 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Jul 2022)
  • SMF16 Compliance Oversight (since 21 Jul 2022)
• Marc Ben Hafsia

  IRN MXB03929

  • CF10 Compliance Oversight (14 Nov 2016 to 30 Jun 2017)
  • CF11 Money Laundering Reporting (14 Nov 2016 to 30 Jun 2017)
• Marco Nuzzo

  IRN MXN01430

  • CF10 Compliance Oversight (16 Nov 2010 to 20 Mar 2011)
  • CF11 Money Laundering Reporting (16 Nov 2010 to 20 Mar 2011)
• Mark Sutherland

  IRN MXS00041

  • [FCA CF] Functions requiring qualifications (9 May 2024 to 28 Feb 2026)
  • [FCA CF] Client dealing (9 May 2024 to 28 Mar 2026)

• Surrey Hills Wealth Management Limited

  FRN 1006436 · Appointed 21 Dec 2023

• Per4m Asset Management (PAM) (no longer appointed)

  FRN 716469 · Appointed 11 Sep 2015 · Until 20 Apr 2016

No changes recorded yet.