GENCIA FINANCIAL SERVICES LIMITED

Date authorised
1 April 2013
Companies House
04594911
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    481 Rochdale Road
    Shaw
    Oldham
    Lancashire
    OL2 7NP
    UNITED KINGDOM
    Phone
    +4401706846333

  • Complaints Contact

    481 Rochdale Road
    Shaw
    Oldham
    Lancashire
    OL2 7NP
    UNITED KINGDOM
    Phone
    +4401706846333

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 2 limitations
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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, 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Brendan Joseph Miskella

    IRN BJM00041

    • CF30 Customer (1 Nov 2007 to 24 Sep 2010)
    • CF21 Investment Adviser (9 Jan 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (11 May 2006 to 9 Jan 2007)
  • David Whittingham

    IRN DXW00001

    • CF30 Customer (1 Nov 2007 to 24 Sep 2010)
    • CF21 Investment Adviser (23 Nov 2004 to 31 Oct 2007)
  • David William Lawson

    IRN DWL00011

    • CF21 Investment Adviser (24 Nov 2004 to 18 Dec 2004)
  • Gary John Kershaw

    IRN GJK01042

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (29 Oct 2004 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (29 Oct 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Oct 2004 to 8 Dec 2019)
    • CF1 Director (29 Oct 2004 to 8 Dec 2019)
  • James Andrew Kershaw

    IRN JAK00013

    • 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 26 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (29 Oct 2004 to 31 Oct 2007)
    • CF1 Director (29 Oct 2004 to 8 Dec 2019)
  • Michael Schofield

    IRN MXS00187

    • 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 26 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 8 Feb 2021)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (29 Oct 2004 to 31 Oct 2007)
  • Philip Francis Crowther

    IRN PFC00016

    • CF21 Investment Adviser (31 Jan 2006 to 10 Feb 2006)
    • CF22 Investment Adviser (Trainee) (29 Oct 2004 to 31 Jan 2006)
  • Richard Ian Martin

    IRN RIM00005

    • CF21 Investment Adviser (3 Mar 2005 to 10 Feb 2006)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.