HORIZON INDEPENDENT FINANCIAL ADVISERS LIMITED

Date authorised
1 April 2013
Companies House
04248797
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    41
    Clarence Road
    Chesterfield
    Derbyshire
    S40 1LH
    UNITED KINGDOM
    Phone
    +4407770958454
    Web
    https://horizonifa.co.uk

  • Complaints Contact

    41
    Clarence Road
    Chesterfield
    Derbyshire
    S40 1LH
    UNITED KINGDOM
    Phone
    +4407770958454

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

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

  • 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
    • · 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

    Show 1 limitation
    • · 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, 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alan Malcolm Charles Hanson

    IRN AXH01446

    • CF21 Investment Adviser (20 Apr 2004 to 4 Jan 2005)
  • Diana Jones

    IRN KAJ00008

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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
    • [FCA CF] CASS oversight function (since 10 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
    • [PRA CF] Key function holder (since 10 Dec 2019)
    • [FCA CF] Client dealing (since 10 Dec 2019)
    • [FCA CF] Significant management (since 10 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)
    • CF10 Compliance Oversight (12 Oct 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 Oct 2012 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (10 Mar 2003 to 31 Oct 2007)
    • CF1 Director (10 Mar 2003 to 8 Dec 2019)
  • Stephen Neil Smith

    IRN SNS00004

    • CF30 Customer (1 Nov 2007 to 28 Sep 2012)
    • Responsible for Insurance Mediation (14 Jan 2005 to 28 Sep 2012)
    • CF1 Director (10 Mar 2003 to 28 Sep 2012)
    • CF10 Compliance Oversight (10 Mar 2003 to 28 Sep 2012)
    • CF11 Money Laundering Reporting (10 Mar 2003 to 28 Sep 2012)
    • CF8 Apportionment and Oversight (10 Mar 2003 to 31 Mar 2009)
    • CF21 Investment Adviser (10 Mar 2003 to 31 Oct 2007)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.