GS Financial Services Limited

• Principal Place of Business

  30 Bear Street

  Barnstaple

  Devon

  EX32 7DD

  UNITED KINGDOM

  Phone

  +4401271323543

  Web

  https://www.gsfinancialservices.co.uk

• Complaints Contact

  30 Bear Street

  Barnstaple

  Devon

  EX32 7DD

  UNITED KINGDOM

  Phone

  +4401237473800

• 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

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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

  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.

• 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.

• Brian Charles Ross

  IRN BCR01029

  • CF1 Director (17 Jun 2005 to 6 Nov 2019)
• Katy Emma Toms

  IRN KXT00300

  • SMF3 Executive Director (since 25 Mar 2024)
• Kevin Nigel Salter

  IRN KNS01007

  • CF1 Director (18 May 2005 to 5 Nov 2019)
• Mark Reginald Shute

  IRN MRS01223

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (15 Feb 2007 to 8 Dec 2019)
• Martin John Chance

  IRN MJC01469

  • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2023)
  • CF1 Director (17 Jun 2005 to 8 Dec 2019)
• Nigel Andrew Bennett

  IRN NAB01104

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (17 Jun 2005 to 8 Dec 2019)
• Philip Nicholas Shaw

  IRN PNS00003

  • CF30 Customer (1 Nov 2007 to 20 May 2009)
  • Responsible for Insurance Mediation (18 May 2005 to 5 Dec 2008)
  • CF8 Apportionment and Oversight (18 May 2005 to 5 Dec 2008)
  • CF21 Investment Adviser (18 May 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (18 May 2005 to 30 Aug 2007)
  • CF10 Compliance Oversight (18 May 2005 to 5 Dec 2008)
  • CF1 Director (18 May 2005 to 20 May 2009)
• Roderick Edward Hannam

  IRN REH00003

  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF8 Apportionment and Oversight (10 Dec 2008 to 31 Mar 2009)
  • CF10 Compliance Oversight (10 Dec 2008 to 8 Dec 2019)
  • Responsible for Insurance Mediation (10 Dec 2008 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Sep 2007 to 8 Dec 2019)
  • CF1 Director (1 Feb 2006 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Feb 2006 to 31 Oct 2007)
• Stephen David Pearce

  IRN SDP01083

  • CF1 Director (18 May 2005 to 5 Nov 2019)

No changes recorded yet.