Headley Financial Services Limited

• Principal Place of Business

  Headley Financial Services Ltd

  Grosvenor House

  Basing View

  Basingstoke

  Hampshire

  RG21 4HG

  UNITED KINGDOM

  Phone

  +441420446140

  Web

  https://www.headleyfs.com

• Complaints Contact

  Headley Financial Services Ltd

  Grosvenor House

  Basing View

  Basingstoke

  Hampshire

  RG21 4HG

  UNITED KINGDOM

  Phone

  +441420446140

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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 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.

• 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

  Show 1 limitation Hide limitations

  • · 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

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• 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.

• Alain Nathaniel Wolffe

  IRN ANW01013

  • SMF16 Compliance Oversight (since 5 Dec 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Dec 2024)
  • SMF3 Executive Director (since 5 Mar 2024)
• Alasdair James Vaughan Gillingham

  IRN AJG01324

  • SMF3 Executive Director (19 Feb 2025 to 31 Dec 2025)
• Anthony Sutton

  IRN AXS03685

  • Director of firm who is not a certification employee or a SMF manager (since 13 Mar 2024)
• Christopher Ward Hinchcliffe

  IRN CXH00821

  • 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 9 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 9 Sep 2024)
• Damian Ferguson

  IRN DXF28295

  • Director of firm who is not a certification employee or a SMF manager (since 24 Dec 2024)
  • SMF3 Executive Director (5 Mar 2024 to 22 Nov 2024)
• Frank Edwin Blackmore

  IRN FEB00002

  • Responsibility for MCD Intermediation (21 Mar 2016 to 30 Jun 2016)
  • CF30 Customer (4 Jan 2011 to 30 Jun 2016)
  • CF11 Money Laundering Reporting (4 Jan 2011 to 30 Jun 2016)
  • CF10 Compliance Oversight (4 Jan 2011 to 30 Jun 2016)
  • CF1 Director (4 Jan 2011 to 30 Jun 2016)
  • Responsible for Insurance Mediation (4 Jan 2011 to 30 Jun 2016)
• James William Griffiths

  IRN JWG01101

  • CF30 Customer (8 Mar 2019 to 13 Mar 2019)
• Jane Louise Slater

  IRN JLS00012

  • [FCA CF] Significant management (9 Dec 2019 to 7 Mar 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Feb 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Feb 2025)
  • SMF3 Executive Director (9 Dec 2019 to 7 Mar 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 7 Mar 2024)
  • Responsibility for MCD Intermediation (23 Aug 2016 to 7 Mar 2024)
  • Responsible for Insurance Mediation (23 Aug 2016 to 30 Sep 2018)
  • CF1 Director (4 Jan 2011 to 8 Dec 2019)
  • CF30 Customer (4 Jan 2011 to 8 Dec 2019)
• John David White

  IRN JDW01100

  • SMF9 Chair of the Governing Body (since 26 Feb 2025)
• Jonathan Charles Woods

  IRN JCW00027

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Sep 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Sep 2022)
  • CF30 Customer (4 Jan 2011 to 8 Dec 2019)

No changes recorded yet.