JAMES YOUNG ASSOCIATES LIMITED

• Principal Place of Business

  106A Radipole Lane

  Weymouth

  Dorset

  DT4 9RT

  UNITED KINGDOM

  Phone

  +4401305839506

  Web

  https://www.jyagroup.co.uk

• Complaints Contact

  106A Radipole Lane

  Weymouth

  Dorset

  DT4 9RT

  UNITED KINGDOM

  Phone

  +4401305839506

• 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

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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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

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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.

• 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

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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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling which is provided in connection with investment advice and second charge mortgages

• Equity Release Setup

  For Customer, Home reversion plans

• 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.

• Anthony Vincent Calleja

  IRN AXC00662

  • [FCA CF] Functions requiring qualifications (23 Jul 2024 to 4 Nov 2024)
• BENJAMIN THOMAS MILLS

  IRN BXM00381

  • 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] Functions requiring qualifications (since 1 Apr 2021)
  • Appointed representative dealing with clients for which they require qualification (1 Apr 2021 to 1 Aug 2024)
  • [FCA CF] Client dealing (1 Apr 2021 to 1 Aug 2024)
• Carl Alexander Mitchell

  IRN CXM01103

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 29 Nov 2023)
• Donna Jacqueline Young

  IRN DJY00010

  • SMF3 Executive Director (9 Dec 2019 to 30 Jul 2020)
  • CF1 Director (6 Nov 2009 to 8 Dec 2019)
• James Gilchrist Young

  IRN JGY00003

  • [FCA CF] Significant management (6 Jun 2020 to 25 Sep 2023)
  • [FCA CF] Functions requiring qualifications (6 Jun 2020 to 25 Sep 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Sep 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 7 Sep 2023)
  • SMF3 Executive Director (9 Dec 2019 to 7 Sep 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 7 Sep 2023)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 7 Sep 2023)
  • CF30 Customer (6 Nov 2009 to 8 Dec 2019)
  • Responsible for Insurance Mediation (6 Nov 2009 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (6 Nov 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (6 Nov 2009 to 8 Dec 2019)
  • CF1 Director (6 Nov 2009 to 8 Dec 2019)
• Mark David Hopkins

  IRN MDH00033

  • [FCA CF] Client dealing (29 Nov 2020 to 11 Oct 2022)
  • Appointed representative dealing with clients for which they require qualification (29 Nov 2020 to 11 Oct 2022)
  • [FCA CF] Functions requiring qualifications (29 Nov 2020 to 11 Oct 2022)
  • SMF3 Executive Director (9 Dec 2019 to 30 Jul 2020)
  • CF1 Director (1 Oct 2013 to 8 Dec 2019)
  • CF30 Customer (6 Nov 2009 to 8 Dec 2019)
• Nigel Campbell-Bell

  IRN NXC01153

  • Appointed representative dealing with clients for which they require qualification (30 Sep 2021 to 30 Mar 2023)
  • [FCA CF] Functions requiring qualifications (30 Sep 2021 to 31 Mar 2023)
  • [FCA CF] Client dealing (30 Sep 2021 to 30 Mar 2023)
  • CF30 Customer (6 Nov 2009 to 8 Dec 2019)
• Samantha Jane Mitchell

  IRN SXM87526

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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
  • Responsibility for MCD Intermediation (since 11 Dec 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Dec 2023)
  • SMF16 Compliance Oversight (since 11 Dec 2023)
  • Responsible for Insurance Distribution (since 11 Dec 2023)
  • SMF3 Executive Director (since 16 Mar 2021)
  • [FCA CF] Significant management (since 26 Jun 2020)
  • [FCA CF] Functions requiring qualifications (since 18 Jun 2020)

• BENJAMIN MILLS (no longer appointed)

  FRN 999410 · Appointed 10 Jul 2023 · Until 18 Jun 2024

No changes recorded yet.