FIRCO FINANCIAL SERVICES GROUP LTD

• Principal Place of Business

  62 Dunbabin Road

  Liverpool

  Merseyside

  L16 7QH

  UNITED KINGDOM

  Phone

  +441513720388

  Web

  https://www.fircogroup.co.uk

• Complaints Contact

  62 Dunbabin Road

  Liverpool

  Merseyside

  L16 7QH

  UNITED KINGDOM

  Phone

  +441513720388

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

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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.

• 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

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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 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), 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.

• . North West Mortgage LTD

  IRN XXN01087

  • SMF3 Executive Director (9 Dec 2019 to 8 Apr 2020)
  • CF1 Director (15 Feb 2017 to 8 Dec 2019)
• Hadleigh Forman

  IRN HXF00049

  • [FCA CF] Functions requiring qualifications (19 Oct 2020 to 20 Aug 2021)
• Mark Heaton

  IRN MXH82116

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2022)
• Michael Binks

  IRN MXB00570

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Neil Batho

  IRN NXB01931

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Oct 2022)
  • SMF3 Executive Director (9 Dec 2019 to 26 Oct 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Feb 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 23 Feb 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 23 Feb 2022)
  • CF1 Director (15 Feb 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (15 Feb 2017 to 8 Dec 2019)
• Patrick Granby

  IRN PXG01607

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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 4 Mar 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Sep 2022)
  • SMF16 Compliance Oversight (since 16 Sep 2022)
  • Responsibility for MCD Intermediation (since 13 Jun 2022)
  • Responsible for Insurance Distribution (since 13 Jun 2022)
  • SMF3 Executive Director (since 22 Oct 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 16 Jun 2022)
• Philip Anthony Caton

  IRN PXC00031

  • SMF16 Compliance Oversight (9 Dec 2019 to 5 Jun 2022)
  • SMF3 Executive Director (9 Dec 2019 to 5 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 5 Jun 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Jun 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 5 Jun 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 23 Feb 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 5 Jun 2022)
  • Responsibility for MCD Intermediation (15 Feb 2017 to 5 Jun 2022)
  • CF30 Customer (15 Feb 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Feb 2017 to 8 Dec 2019)
  • CF1 Director (15 Feb 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (15 Feb 2017 to 30 Sep 2018)
• Simon Hannam

  IRN SXH00506

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 28 Sep 2020)

No changes recorded yet.