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

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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, 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.

• 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.

• Graham Hoare

  IRN GXH01440

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 10 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
• Gregory Savva

  IRN GXS00024

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 10 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
  • CF30 Customer (14 Feb 2014 to 8 Dec 2019)
  • CF21 Investment Adviser (8 Oct 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (29 Jun 2004 to 8 Oct 2004)
• John Charles Isitt

  IRN JCI00001

  • CF30 Customer (1 Nov 2007 to 14 Jan 2013)
  • CF1 Director (1 Dec 2001 to 14 Jan 2013)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• John Daniel Sullivan

  IRN JDS00009

  • CF30 Customer (1 Nov 2007 to 17 Jan 2013)
  • CF21 Investment Adviser (6 Feb 2004 to 31 Oct 2007)
• Keith Holdich

  IRN KPH00006

  • CF30 Customer (21 Jan 2010 to 28 Apr 2017)
• Mark John Cooper

  IRN MJC01398

  • CF21 Investment Adviser (18 May 2005 to 2 Oct 2007)
  • CF22 Investment Adviser (Trainee) (14 Jul 2004 to 18 May 2005)
• Michael Peter Raphael

  IRN MPR01081

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
  • [FCA CF] Client dealing (since 10 Dec 2019)
  • CF30 Customer (10 Jul 2018 to 8 Dec 2019)
• Michael Robert Bergin

  IRN MRB00016

  • SMF16 Compliance Oversight (9 Dec 2019 to 12 Jun 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 12 Jun 2024)
  • CF10 Compliance Oversight (14 Jul 2010 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 21 Sep 2011)
• Phillip Antonie Henke

  IRN PAH00010

  • CF30 Customer (1 Nov 2007 to 28 Feb 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Phillip Henry Unwin

  IRN PHU00001

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)

• 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.