James & James Financial Advisers Limited

• Principal Place of Business

  Milton House

  30 Ashwell Road

  Oakham

  Rutland

  LE15 6QG

  UNITED KINGDOM

  Phone

  +4401572368278

  Web

  https://www.jandjadvisers.co.uk

• Complaints Contact

  Milton House

  30 Ashwell Road

  Oakham

  Rutland

  LE15 6QG

  UNITED KINGDOM

  Phone

  +4401572368278

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, 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, 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• James Anthony David Curtis

  IRN JAC00061

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 22 Aug 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 15 Feb 2019)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 22 Aug 2023)
  • CF30 Customer (4 Jan 2011 to 15 Feb 2019)
  • Responsible for Insurance Mediation (4 Jan 2011 to 30 Sep 2018)
  • CF10 Compliance Oversight (4 Jan 2011 to 15 Feb 2019)
  • CF1 Director (4 Jan 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (4 Jan 2011 to 15 Feb 2019)
• James Whearity

  IRN JXW00155

  • 11. Pension transfer specialist
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 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)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 11 Apr 2019)
  • CF11 Money Laundering Reporting (15 Mar 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Mar 2019 to 8 Dec 2019)
  • CF1 Director (4 Jan 2011 to 8 Dec 2019)
  • CF30 Customer (4 Jan 2011 to 8 Dec 2019)
• Mark David Carvell

  IRN MDC00028

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 11. Pension transfer specialist
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Michelle Louise Davies

  IRN MXD00269

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • Appointed representative dealing with clients for which they require qualification (since 6 Feb 2023)
• Richard Simon French

  IRN RSF00002

  • CF30 Customer (16 Feb 2011 to 15 Feb 2019)
• Robert Carvell

  IRN RXC00339

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)

• Robert Christopher Carvell (no longer appointed)

  FRN 845249 · Appointed 3 Jul 2019 · Until 2 Dec 2024

• Mark David Carvell (no longer appointed)

  FRN 832937 · Appointed 6 Feb 2019 · Until 2 Dec 2024

No changes recorded yet.