Kingswood Financial Advisors

• Principal Place of Business

  17 Gelliwastad Road

  Pontypridd

  CF37 2BW

  UNITED KINGDOM

  Phone

  +4401443742681

• Complaints Contact

  17 Gelliwastad Road

  Pontypridd

  Rhondda Cynon Taff

  CF37 2BW

  UNITED KINGDOM

  Phone

  +441443742681

• 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 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, 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.

• 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, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Credit Brokering

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• 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”.

• 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, 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.

• Basic Pension Advice

  For Retail (Investment), Stakeholder products

• Craig Anderson Fowler

  IRN CAF00017

  • SMF27 Partner (9 Dec 2019 to 5 May 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 May 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 5 May 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 5 May 2022)
  • Responsible for Insurance Mediation (16 Oct 2006 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (16 Oct 2006 to 31 Mar 2009)
  • CF4 Partner (16 Oct 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (16 Oct 2006 to 8 Dec 2019)
  • CF10 Compliance Oversight (16 Oct 2006 to 8 Dec 2019)
• Darren Stanley Hopkins

  IRN DSH00009

  • CF30 Customer (1 Nov 2007 to 12 Apr 2016)
  • CF4 Partner (16 Oct 2006 to 12 Apr 2016)
  • CF21 Investment Adviser (16 Oct 2006 to 31 Oct 2007)
• Ian Evan Jones

  IRN IEJ00002

  • 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 Jun 2022)
  • SMF16 Compliance Oversight (since 4 May 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 May 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (16 Oct 2006 to 31 Oct 2007)
  • CF4 Partner (16 Oct 2006 to 8 Dec 2019)
  • CF21 Investment Adviser (16 Oct 2006 to 31 Oct 2007)
• John Garry Cunningham

  IRN JGC00021

  • CF30 Customer (1 Nov 2007 to 17 Jul 2014)
  • CF21 Investment Adviser (16 Oct 2006 to 31 Oct 2007)
• John Scott Douglas Howell

  IRN JSH00033

  • CF30 Customer (1 Mar 2011 to 1 Oct 2013)
• Kathleen Denise Howells

  IRN KDH00006

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (16 Oct 2006 to 31 Oct 2007)
• Lee Anthony Prosser

  IRN LAP00012

  • CF30 Customer (1 Nov 2007 to 12 Mar 2008)
  • CF21 Investment Adviser (16 Oct 2006 to 31 Oct 2007)
• Malcolm Stephens

  IRN MXS00160

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (16 Oct 2006 to 31 Oct 2007)
• Michael Gwyther

  IRN MXG00083

  • CF30 Customer (1 Nov 2007 to 12 Apr 2016)
  • CF4 Partner (16 Oct 2006 to 12 Apr 2016)
  • CF21 Investment Adviser (16 Oct 2006 to 31 Oct 2007)
• Rhydian Davies

  IRN RXD00068

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (16 Oct 2006 to 31 Oct 2007)

No changes recorded yet.