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.

• Mauro Buseddu

  IRN MXB03036

  • CF10 Compliance Oversight (27 Sep 2012 to 17 Feb 2014)
• Michael Witt

  IRN MXW01928

  • CF11 Money Laundering Reporting (30 Mar 2011 to 16 Sep 2012)
  • CF10 Compliance Oversight (30 Mar 2011 to 16 Sep 2012)
• Neil Michael Pratt

  IRN NMP00006

  • 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 21 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 21 Feb 2025)
• Paolo di Filippo

  IRN PXD01605

  • SMF1 Chief Executive (9 Dec 2019 to 22 May 2024)
  • CF30 Customer (27 Jul 2018 to 8 Dec 2019)
  • CF3 Chief Executive (16 Nov 2010 to 8 Dec 2019)
• Paul Michael Shadbolt

  IRN PMS01078

  • [FCA CF] Functions requiring qualifications (15 Aug 2022 to 18 Oct 2022)
  • [FCA CF] Client dealing (15 Aug 2022 to 18 Oct 2022)
• Paul Robert William Crawford

  IRN PRC01104

  • 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 Jun 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2024)
• Rene Boehrer

  IRN RXB02593

  • CF4 Partner (AR) (7 Oct 2015 to 8 Dec 2015)
• Sarah Jane Mottram

  IRN SXM00561

  • [FCA CF] Functions requiring qualifications (9 Sep 2024 to 16 Oct 2025)
  • [FCA CF] Client dealing (9 Sep 2024 to 16 Oct 2025)
• Sundeep Hothi

  IRN SXH00313

  • 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 8 Sep 2025)
  • [FCA CF] Client dealing (since 8 Sep 2025)

• 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.