Heath Crawford Financial Services LLP

• Principal Place of Business

  Halkin Management Ltd

  Iveco House

  Station Road

  Watford

  Hertfordshire

  WD17 1ET

  UNITED KINGDOM

  Phone

  +442084217036

  Web

  https://www.heathcrawfordfs.co.uk

• Complaints Contact

  Halkin Management Ltd

  Iveco House

  Station Road

  Watford

  Hertfordshire

  WD17 1ET

  UNITED KINGDOM

  Phone

  +442084217036

• 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.

• 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.

• 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

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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

• Stockbroking

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

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with investment advice and Buy to let mortgages and second charge mortgages

• 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

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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.

• Adam Benjamin Leyens

  IRN ABL01025

  • CF1 Director (AR) (5 Sep 2011 to 31 Jan 2017)
• Dominic Jacobus Kuyl Stow

  IRN DJS01310

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Oct 2009 to 31 Dec 2012)
• Edward John Pinnock

  IRN EJP01057

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Oct 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 25 Oct 2021)
  • SMF27 Partner (9 Dec 2019 to 9 Nov 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Nov 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 9 Nov 2021)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 25 Oct 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Oct 2021)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 9 Nov 2021)
  • CF4 Partner (3 Nov 2008 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Nov 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Nov 2008 to 8 Dec 2019)
• Gerald Alexander Franks

  IRN GAF00004

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (5 Nov 2008 to 31 Dec 2012)
• Guy John Murray

  IRN GJM00073

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2021)
  • [FCA CF] Client dealing (since 1 Dec 2021)
  • CF30 Customer (17 Feb 2009 to 22 May 2009)
• Keith Laurence Pinnock

  IRN KLP01023

  • 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
  • Responsibility for MCD Intermediation (since 25 May 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 May 2022)
  • SMF16 Compliance Oversight (since 25 May 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF8 Apportionment and Oversight (3 Nov 2008 to 31 Mar 2009)
  • Responsible for Insurance Mediation (3 Nov 2008 to 30 Sep 2018)
  • CF4 Partner (3 Nov 2008 to 8 Dec 2019)
  • CF30 Customer (3 Nov 2008 to 8 Dec 2019)
• Laurence Leyens

  IRN LXL01128

  • CF1 Director (AR) (7 Nov 2008 to 31 Jan 2017)
  • CF4 Partner (3 Nov 2008 to 31 Jan 2017)
• Mark Stuart Harvey

  IRN MSH01086

  • [FCA CF] Client dealing (9 Dec 2019 to 16 Apr 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Apr 2021)
  • CF30 Customer (20 May 2013 to 8 Dec 2019)
• Oliver Max Leyens

  IRN OXL01065

  • CF1 Director (AR) (5 Sep 2011 to 31 Jan 2017)
• Shirley Ann Pinnock

  IRN SXP00851

  • SMF27 Partner (since 15 Nov 2023)

• Heath Crawford Ltd (no longer appointed)

  FRN 403741 · Appointed 7 Nov 2008 · Until 31 Jan 2017

No changes recorded yet.