Jones Financial (Norwich) Limited

• Principal Place of Business

  Jones Financial (Norwich) Ltd

  9 Bank Plain

  Norwich

  Norfolk

  NR2 4SF

  UNITED KINGDOM

  Phone

  +441603763333

  Web

  https://www.jonesfinancial.co.uk

• Complaints Contact

  Jones Financial (Norwich) Ltd

  9 Bank Plain

  Norwich

  Norfolk

  NR2 4SF

  UNITED KINGDOM

  Phone

  +4401903946968

• 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

  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.

• Equity Release Advice

  For Customer

• 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

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer

• 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

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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”.

• Consumer Loans

• Loan Servicing

• Equity Release Setup

  For Customer

• 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.

• Simon Mark Jones

  IRN SMJ00013

  • 11. Pension transfer specialist
  • 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
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 27 Oct 2020)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 15 Dec 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 15 Dec 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Dec 2025)
  • Responsible for Insurance Distribution (1 Oct 2018 to 15 Dec 2025)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 15 Dec 2025)
  • CF11 Money Laundering Reporting (1 Apr 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Apr 2015 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Apr 2015 to 30 Sep 2018)
  • CF1 Director (1 Apr 2015 to 8 Dec 2019)
  • CF30 Customer (1 Apr 2015 to 8 Dec 2019)
• Stephen Paul Jones

  IRN SPJ00024

  • [FCA CF] Functions requiring qualifications (27 Oct 2020 to 1 Sep 2023)
  • [FCA CF] Client dealing (27 Oct 2020 to 1 Sep 2023)
  • CF30 Customer (30 Oct 2019 to 8 Dec 2019)

No changes recorded yet.