Hugh James Solicitors

• Principal Place of Business

  Two Central Square

  Central Square

  Cardiff

  Caerdydd

  CF10 1FS

  UNITED KINGDOM

  Phone

  +4402922675980

  Web

  https://www.hughjames.com

• Complaints Contact

  Two Central Square

  Central Square

  Cardiff

  Caerdydd

  CF10 1FS

  UNITED KINGDOM

  Phone

  +4402922675980

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

  Show 1 limitation Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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.

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• 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.

• Alena Zavarina

  IRN AXZ26407

  • [FCA CF] Client dealing (15 May 2023 to 12 Jun 2025)
  • [FCA CF] Functions requiring qualifications (15 May 2023 to 12 Jun 2025)
• Alun Rhys Jones

  IRN ARJ01046

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Dec 2025)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 30 Jun 2023)
  • Responsible for Insurance Mediation (19 Jun 2006 to 30 Sep 2018)
  • CF10 Compliance Oversight (25 Mar 2004 to 8 Dec 2019)
  • CF4 Partner (25 Mar 2004 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (25 Mar 2004 to 8 Dec 2019)
• Anthony Clive Edwards

  IRN ACE00007

  • Responsible for Insurance Mediation (14 Jan 2005 to 29 Apr 2006)
  • CF17 Significant Mgt (Other Business Operations) (31 Oct 2004 to 29 Apr 2006)
  • CF21 Investment Adviser (25 Mar 2004 to 29 Apr 2006)
• Brendan de Lange

  IRN BXD00255

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 8 Oct 2025)
  • [FCA CF] Client dealing (since 8 Oct 2025)
• David Lloyd Williams

  IRN DLW00029

  • CF22 Investment Adviser (Trainee) (20 Feb 2007 to 20 Feb 2007)
• David Prysor Hulse

  IRN DPH01080

  • 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] Manager of certification employee (since 16 Jan 2023)
  • [FCA CF] Client dealing (since 16 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 16 Jan 2023)
• Geoffrey William Adams

  IRN GWA01021

  • CF4 Partner (25 Mar 2004 to 7 Oct 2004)
• Gweirydd Fychan Ap Gwyndaf

  IRN GFG01011

  • CF22 Investment Adviser (Trainee) (30 Jan 2007 to 21 May 2007)
• Ian Campbell Sinclair

  IRN ICS00014

  • CF30 Customer (1 Nov 2007 to 23 Nov 2011)
  • CF21 Investment Adviser (12 Apr 2007 to 31 Oct 2007)
• Jason David Lloyd

  IRN JXL00667

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 15 May 2023)
  • [FCA CF] Client dealing (since 15 May 2023)

No changes recorded yet.