John Joseph Financial Services Limited

• Principal Place of Business

  John Joseph Financial Services

  Heronslea House

  High Street

  Bushey

  Hertfordshire

  WD23 3HH

  UNITED KINGDOM

  Phone

  +4402089536677

  Web

  https://www.jjfs.com

• Complaints Contact

  John Joseph Financial Services

  Heronslea House

  High Street

  Bushey

  Hertfordshire

  WD23 3HH

  UNITED KINGDOM

  Phone

  +4402089536677

• 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

  Show 2 limitations Hide limitations

  • · 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 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.

• 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, 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.

• Insurance Admin

  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, 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.

• Gordon William Chambers

  IRN GWC01065

  • CF1 Director (AR) (11 Apr 2016 to 26 Oct 2016)
• Jimmie Alexander Joseph

  IRN JXJ01369

  • 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
  • Responsible for Insurance Distribution (since 14 May 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (2 Oct 2018 to 8 Dec 2019)
  • CF1 Director (AR) (13 Apr 2016 to 26 Oct 2016)
  • CF30 Customer (1 Mar 2012 to 8 Dec 2019)
• John Graham Joseph

  IRN JGJ00001

  • Director of firm who is not a certification employee or a SMF manager (since 13 May 2020)
  • SMF3 Executive Director (9 Dec 2019 to 13 May 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 13 May 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 10 May 2017)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 17 Apr 2013)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Justin Andrew Green

  IRN JAG01172

  • CF22 Investment Adviser (Trainee) (3 Sep 2002 to 5 Sep 2003)
• Mark Belch

  IRN MXB00336

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• Mark Roy Belch

  IRN MRB01237

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF1 Director (AR) (13 Apr 2016 to 26 Oct 2016)
  • CF11 Money Laundering Reporting (11 Sep 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (16 Apr 2013 to 8 Dec 2019)
• Simon Leslie Wasserman

  IRN SLW01108

  • CF30 Customer (3 Mar 2009 to 12 Oct 2010)
• Stephen Mark Petrie

  IRN SMP00013

  • CF1 Director (7 Feb 2005 to 27 Oct 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 1 Jul 2006)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 1 Jul 2006)
• Stephen William Hayes

  IRN SWH00002

  • CF30 Customer (26 May 2011 to 7 Dec 2013)

• Opt4 Life and Health Limited (no longer appointed)

  FRN 741367 · Appointed 22 Mar 2016 · Until 26 Oct 2016

No changes recorded yet.