FRIAR GATE INDEPENDENT FINANCIAL SERVICES LIMITED

• Principal Place of Business

  Friar Gate Independent Financial Services

  5 Prospect Place

  Millennium Way

  Pride Park

  Derby

  DE24 8HG

  UNITED KINGDOM

  Phone

  +441332438361

  Web

  https://www.friargate.net

• Complaints Contact

  Friar Gate Independent Financial Services

  5 Prospect Place

  Millennium Way

  Pride Park

  Derby

  DE24 8HG

  UNITED KINGDOM

  Phone

  +441332438361

• 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: 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.

• 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.

• Buy-to-Let Start Date

• Buy-to-Let End 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
  • · Limited to Debt-counselling which is provided in connection with investment advice

• 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

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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.

• Adrian Trevor Halls

  IRN AXH01392

  • CF1 Director (20 May 2005 to 2 Jul 2014)
• Andrew Westhead Lyon

  IRN AXL01412

  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jul 2025)
  • Responsibility for MCD Intermediation (27 Apr 2016 to 6 Mar 2024)
  • CF10 Compliance Oversight (22 Sep 2008 to 8 Dec 2019)
  • Responsible for Insurance Mediation (22 Sep 2008 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (14 Jan 2008 to 31 Mar 2009)
  • CF1 Director (17 Aug 2004 to 8 Dec 2019)
• Anthony John Lymn

  IRN AJL01131

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (20 May 2005 to 8 Dec 2019)
• Barrie Stuart Read

  IRN BSR01020

  • CF1 Director (25 May 2005 to 26 Jul 2011)
• David Edward Rouse

  IRN DER00006

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (15 Oct 2004 to 31 Oct 2007)
• David Mark Newborough

  IRN DMN01027

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (22 Sep 2008 to 8 Dec 2019)
  • CF1 Director (24 May 2006 to 8 Dec 2019)
• Ian Robert Johnson

  IRN IRJ01025

  • SMF3 Executive Director (9 Dec 2019 to 29 Jul 2024)
  • CF1 Director (2 May 2018 to 8 Dec 2019)
• Jonathen Paul Corner

  IRN JPC00022

  • CF29 Significant management (14 Jan 2008 to 15 Sep 2008)
  • CF30 Customer (1 Nov 2007 to 15 Sep 2008)
  • Responsible for Insurance Mediation (14 Jan 2005 to 15 Sep 2008)
  • CF11 Money Laundering Reporting (17 Aug 2004 to 15 Sep 2008)
  • CF10 Compliance Oversight (17 Aug 2004 to 15 Sep 2008)
  • CF1 Director (17 Aug 2004 to 31 Dec 2007)
  • CF21 Investment Adviser (17 Aug 2004 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (17 Aug 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (17 Aug 2004 to 31 Dec 2007)
• Matthew John Wright

  IRN MJW01648

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 May 2018 to 8 Dec 2019)
• Sharon Louise Hanner

  IRN SLG00020

  • SMF16 Compliance Oversight (since 1 Jul 2025)

No changes recorded yet.