GARSTANG INDEPENDENT FINANCIAL SERVICES LIMITED

• Principal Place of Business

  Garstang Independent Financial Services

  Resource Centre

  Bridge Street

  Garstang

  Preston

  Lancashire

  PR3 1YB

  UNITED KINGDOM

  Phone

  +4401995600661

• Complaints Contact

  Garstang Independent Financial Services

  Resource Centre

  Bridge Street

  Garstang

  Preston

  Lancashire

  PR3 1YB

  UNITED KINGDOM

  Phone

  +4401995600661

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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.

• Authorised to Operate

  For Professional, Retail (Investment)

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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.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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.

• Colin John Robinson

  IRN CJR00008

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Aug 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Aug 2024)
  • CF30 Customer (4 Nov 2010 to 8 Dec 2019)
• Jack Elliot Culver

  IRN JXC01494

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 17 May 2024)
  • [FCA CF] Client dealing (17 May 2024 to 17 May 2024)
• John Cummings

  IRN JMC01313

  • CF30 Customer (24 Apr 2019 to 10 May 2019)
• Marilyn Galpin

  IRN MXG00108

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [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 (29 May 2002 to 31 Oct 2007)
  • CF1 Director (29 May 2002 to 8 Dec 2019)
• Steven Clyde Jonathan Blanthorn - Hazell

  IRN SCB00028

  • 9A. Advising on P2P agreements
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (29 May 2002 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (29 May 2002 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (29 May 2002 to 31 Mar 2009)
  • CF1 Director (29 May 2002 to 8 Dec 2019)
  • CF10 Compliance Oversight (29 May 2002 to 8 Dec 2019)
• Susan Elizabeth Zanzarella

  IRN SEZ01003

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Feb 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 3 Feb 2023)
  • CF30 Customer (7 Jun 2018 to 8 Dec 2019)

No changes recorded yet.