Fortress Financial Services Limited

• Principal Place of Business

  Monmouthshire Bldg Soc

  18 Merthyr Road

  Whitchurch

  Cardiff

  CF14 1DG

  UNITED KINGDOM

  Phone

  +441446704423

  Web

  https://www.fortressfinancial.co.uk

• Complaints Contact

  The Business Centre

  Cardiff House

  Cardiff Road

  Barry

  South Glamorgan

  CF63 2AW

  UNITED KINGDOM

  Phone

  +441446704423

• 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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  • · 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: 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 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

• 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.

• Carla Rees

  IRN CXR00474

  • [FCA CF] Functions requiring qualifications (21 Sep 2023 to 16 Aug 2024)
• Christopher John Whitehouse

  IRN CJW00056

  • 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
  • SMF3 Executive Director (since 21 Apr 2023)
  • [FCA CF] Client dealing (since 7 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 7 Jun 2022)
• David James Goodall

  IRN DJG00051

  • SMF3 Executive Director (9 Dec 2019 to 28 Dec 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Dec 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Dec 2023)
  • CF11 Money Laundering Reporting (14 Oct 2019 to 8 Dec 2019)
  • Responsible for Insurance Distribution (14 Oct 2019 to 28 Dec 2023)
  • CF10 Compliance Oversight (14 Oct 2019 to 8 Dec 2019)
  • CF1 Director (14 Oct 2019 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (14 Oct 2019 to 28 Dec 2023)
• Ian John Cooling

  IRN IJC01050

  • 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 29 Jan 2024)
  • [FCA CF] Client dealing (since 29 Jan 2024)
• Julie Ann Williams

  IRN JAW01285

  • [FCA CF] Client dealing (29 Nov 2021 to 1 Nov 2022)
  • [FCA CF] Functions requiring qualifications (29 Nov 2021 to 1 Nov 2022)
• Kevin David John Britton

  IRN KDB00007

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Oct 2023)
  • CF30 Customer (14 Oct 2019 to 8 Dec 2019)
• Nigel Gregory Walker

  IRN NGW00003

  • [FCA CF] Functions requiring qualifications (20 Jan 2021 to 30 May 2023)
• Sophie Bowe

  IRN SXB00862

  • 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 15 Feb 2024)
  • [FCA CF] Client dealing (since 15 Feb 2024)
  • SMF16 Compliance Oversight (since 10 Jan 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Jan 2024)
  • Responsible for Insurance Distribution (since 10 Jan 2024)
  • SMF3 Executive Director (since 30 Mar 2023)
• Stephen Mark Hurst

  IRN SMH00010

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 31 Jan 2020)
• Steven Bowe

  IRN SXB00820

  • Director of firm who is not a certification employee or a SMF manager (since 14 Dec 2021)

No changes recorded yet.