HIGHCLERE FINANCIAL SERVICES LIMITED

• Principal Place of Business

  Highclere Financial Services Ltd

  271 High Street

  Berkhamsted

  Hertfordshire

  HP4 1AA

  UNITED KINGDOM

  Phone

  +441442870512

  Web

  https://www.highclerefinancial.co.uk

• Complaints Contact

  Highclere Financial Services Ltd

  271 High Street

  Berkhamsted

  Hertfordshire

  HP4 1AA

  UNITED KINGDOM

  Phone

  +441442870512

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

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

• Mortgage Advice

  For Customer, Regulated mortgage contract

  Show 1 limitation Hide limitations

  • · Firm is permitted to carry on this activity in relation to first charge mortgages only

• 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), 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, 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

  • · Limited to debt counselling excluding the administration of debt management plans. In this limitation debt management plans are defined as: ” a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debt, by making regular payments to a third party which administers the plan and distributes the money to the lenders

• 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), 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, 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.

• Alan Richard Lakey

  IRN ARL00008

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 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] Client dealing (since 8 Aug 2023)
  • [PRA CF] Key function holder (since 31 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 31 Dec 2019)
  • [FCA CF] Significant management (since 31 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 25 Oct 2016)
  • CF11 Money Laundering Reporting (1 Aug 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Aug 2016 to 8 Dec 2019)
  • CF1 Director (1 Aug 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Aug 2016 to 30 Sep 2018)
  • CF30 Customer (1 Aug 2016 to 8 Dec 2019)
• Beverley Anne Davison

  IRN BAD00004

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Aug 2016 to 8 Dec 2019)
• Steven Sibley

  IRN SXS00116

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Aug 2016 to 8 Dec 2019)
  • CF30 Customer (1 Aug 2016 to 8 Dec 2019)

• Stephen Wiser (no longer appointed)

  FRN 797574 · Appointed 2 Jan 2018 · Until 31 Jan 2020

No changes recorded yet.