GILLINGHAMS INDEPENDENT FINANCIAL ADVISERS LIMITED

• Principal Place of Business

  The Grove

  Rax Lane

  Bridport

  Dorset

  DT6 3JL

  UNITED KINGDOM

  Phone

  +4401308425962

  Web

  https://www.gillinghamsifa.co.uk

• Complaints Contact

  The Grove

  Rax Lane

  Bridport

  Dorset

  DT6 3JL

  UNITED KINGDOM

  Phone

  +4401308425962

• P2P Lending Advice

  For Commercial, 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.

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For Commercial, 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

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

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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, 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 Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Credit Brokering

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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.

• Basic Pension Advice

  For Retail (Investment), Stakeholder products

• Claire Keepax

  IRN CXK00216

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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 1 Jun 2023)
  • [FCA CF] Client dealing (since 1 Jun 2023)
• James Michael Lance Hewitt

  IRN JMH01302

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Aug 2023)
  • Responsible for Insurance Distribution (since 7 Aug 2023)
  • [FCA CF] Manager of certification employee (since 26 Jul 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 19 May 2016)
  • CF1 Director (1 May 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 May 2014 to 8 Dec 2019)
  • CF30 Customer (1 May 2014 to 8 Dec 2019)
• Jonathon David Sear

  IRN JDS01186

  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 25 Aug 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 25 Aug 2023)
  • CF1 Director (1 May 2014 to 8 Dec 2019)
  • CF30 Customer (1 May 2014 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 May 2014 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 May 2014 to 8 Dec 2019)
• Michael David Harms

  IRN MDH01137

  • CF30 Customer (9 Jul 2015 to 16 Nov 2015)
• Nicholas Charles Ashwell

  IRN NCA01027

  • [FCA CF] Client dealing (4 May 2021 to 31 Mar 2022)
  • [FCA CF] Functions requiring qualifications (4 May 2021 to 31 Mar 2022)

No changes recorded yet.