JAMES & ASSOCIATES FINANCIAL SERVICES LIMITED

• Principal Place of Business

  13 Bancks Street

  Minehead

  Somerset

  TA24 5DJ

  UNITED KINGDOM

  Phone

  +4401643706888

  Web

  https://www.jamesandassociates.co.uk

• Complaints Contact

  James & Associates Financial Services Ltd

  13 Bancks Street

  Minehead

  Somerset

  TA24 5DJ

  UNITED KINGDOM

  Phone

  +4401643706888

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

  Show 2 limitations 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.
  • · 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, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is 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 debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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.

• David Walter Peacock

  IRN DWP00007

  • CF30 Customer (1 Nov 2007 to 17 Dec 2012)
  • CF21 Investment Adviser (11 Jan 2006 to 31 Oct 2007)
• James Paul Anson

  IRN JPA00016

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (4 Jan 2005 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (4 Jan 2005 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (4 Jan 2005 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 Jan 2005 to 8 Dec 2019)
  • CF1 Director (4 Jan 2005 to 8 Dec 2019)
• Karen Anson

  IRN KXA01163

  • CF1 Director (4 Jan 2005 to 6 Apr 2010)
• Malcolm Andrew McNeill

  IRN MAM00050

  • CF30 Customer (1 Nov 2007 to 5 Jul 2010)
  • CF21 Investment Adviser (4 Jan 2005 to 31 Oct 2007)
• Michael Baber

  IRN MXB02406

  • CF30 Customer (26 May 2010 to 29 Jun 2012)
• Rachel June Grice

  IRN RJG01217

  • 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] Functions requiring qualifications (since 17 Apr 2026)
  • [FCA CF] Client dealing (since 17 Apr 2026)
• Ralph John Gale

  IRN RJG00029

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (4 Jan 2005 to 31 Oct 2007)
• Stephen Gary Dunn

  IRN SGD01034

  • [FCA CF] Functions requiring qualifications (9 Mar 2020 to 30 Jan 2026)
  • [FCA CF] Client dealing (9 Mar 2020 to 30 Jan 2026)
• james beadell

  IRN JXB03574

  • CF1 Director (29 Mar 2017 to 16 May 2018)

No changes recorded yet.