GILBERT STEPHENS FINANCIAL SERVICES LIMITED

• Principal Place of Business

  Gilbert Stephens Financial Services Ltd

  31-32 Southernhay East

  Exeter

  Devon

  EX1 1NX

  UNITED KINGDOM

  Phone

  +441392346464

  Web

  https://www.gilbertstephensfs.co.uk

• Complaints Contact

  15-17 Southernhay East

  Exeter

  EX1 1QE

  UNITED KINGDOM

  Phone

  +441392424242

• Buy-to-Let Mortgage Advice

• 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 Hide 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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 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 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

• Equity Release Setup

  For Customer, Home reversion plans

• 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.

• Carolyn Anne Maud

  IRN CAT00002

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2022)
  • CF30 Customer (8 Oct 2014 to 8 Dec 2019)
• Catherine Leah Paull

  IRN CXP00765

  • Director of firm who is not a certification employee or a SMF manager (since 1 Jul 2024)
• Christopher Bradley

  IRN CXB01256

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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 2 Jan 2025)
  • [FCA CF] Client dealing (since 2 Jan 2025)
• Elizabeth Andrews

  IRN EXP01125

  • CF30 Customer (31 Aug 2012 to 12 Sep 2014)
• Hayley Martin-Herkt

  IRN HXM00144

  • [FCA CF] Client dealing (9 Dec 2019 to 16 Oct 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Oct 2024)
• Jonathan Ian Cave

  IRN JXC03447

  • Director of firm who is not a certification employee or a SMF manager (since 1 Jul 2024)
• Marcus John Quick

  IRN MJQ01005

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2023)
  • CF30 Customer (31 Aug 2012 to 8 Dec 2019)
• Nigel Ian McKay

  IRN NIM01010

  • SMF3 Executive Director (9 Dec 2019 to 30 Sep 2020)
  • CF1 Director (31 Aug 2012 to 8 Dec 2019)
• Philip John Luckham

  IRN PJL01223

  • CF1 Director (31 Aug 2012 to 31 Dec 2015)
• Richard Alistair Heron

  IRN RAH01244

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)

No changes recorded yet.