Jade Independent Financial Advisors Limited

• Principal Place of Business

  Sutton Business Centre

  Restmor Way

  Wallington

  Surrey

  SM6 7AH

  UNITED KINGDOM

  Phone

  +4402087737667

  Web

  https://www.financialadvisersutton.co.uk

• Complaints Contact

  Sutton Business Centre

  Restmor Way

  Wallington

  Surrey

  SM6 7AH

  UNITED KINGDOM

  Phone

  +4402087737667

• 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

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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, 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.

• 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, 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

• Stockbroking

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

• 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, 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.

• Andrea Renate Foster

  IRN ARF01085

  • CF2 Non Executive Director (AR) (25 Jun 2012 to 3 Sep 2024)
• Christopher Charles Northfield

  IRN CCN01010

  • CF30 Customer (1 Apr 2009 to 12 May 2009)
• Clive Richard Fox

  IRN CRF00002

  • CF30 Customer (1 Nov 2007 to 1 Jan 2013)
  • CF21 Investment Adviser (29 Jun 2005 to 31 Oct 2007)
• Colin Andrew Foster

  IRN CAF01080

  • CF1 Director (AR) (25 May 2012 to 3 Sep 2024)
  • CF30 Customer (19 Mar 2012 to 3 Sep 2024)
• Colm Patrick Stanley Brennan

  IRN CPB00004

  • [FCA CF] Client dealing (10 Dec 2019 to 28 Nov 2022)
  • [FCA CF] Functions requiring qualifications (10 Dec 2019 to 28 Nov 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 11 Oct 2011)
• David Alan Ebsworth

  IRN DAE01050

  • CF30 Customer (1 Nov 2007 to 29 Aug 2008)
  • CF10 Compliance Oversight (21 May 2004 to 29 Aug 2008)
  • CF21 Investment Adviser (21 May 2004 to 31 Oct 2007)
• David Malcolm Woods

  IRN DMW00020

  • 12. Giving personal recommendations on and dealing in 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
  • 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 10 Dec 2019)
  • [FCA CF] Client dealing (since 10 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (27 May 2003 to 31 Oct 2007)
• Dermot Henry Griffin

  IRN DHG00008

  • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
  • CF21 Investment Adviser (15 Jan 2004 to 31 Oct 2007)
• Gary Alan Davey

  IRN GAD00015

  • [FCA CF] Client dealing (10 Dec 2019 to 5 Dec 2022)
  • [FCA CF] Functions requiring qualifications (10 Dec 2019 to 5 Dec 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (24 Jan 2002 to 31 Oct 2007)
• Graeme Levene

  IRN GXL00101

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsible for Insurance Mediation (5 Jan 2017 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)

• Stephen Topp

  FRN 713086 · Appointed 26 Jun 2023

• Mr Wesley Ash (no longer appointed)

  FRN 582497 · Appointed 7 Jun 2012 · Until 7 Jan 2014

• Foster McQueen Wealth Management Ltd (no longer appointed)

  FRN 578646 · Appointed 30 Mar 2012 · Until 3 Sep 2024

No changes recorded yet.