Kirk Rice LLP

• Principal Place of Business

  The Courtyard

  69 High Street

  Ascot

  Berkshire

  SL5 7HP

  UNITED KINGDOM

  Phone

  +4401344875000

  Web

  https://www.kirkrice.co.uk

• Complaints Contact

  The Courtyard

  69 High Street

  Ascot

  Berkshire

  SL5 7HP

  UNITED KINGDOM

  Phone

  +441344637729

• Buy-to-Let Mortgage Admin

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• 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

  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.

• Investment Advice (no pensions)

  For Commercial, 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.

• Arranges Investments

  For Commercial, 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

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 2 limitations Hide limitations

  • · 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/or buy to let mortgages, second charge loans and equity release/lifetime mortgages.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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.

• Credit Score Services

  Show 1 limitation Hide limitations

  • · This permission is limited to not carrying out credit repair services

• Kirsty Louise Neale

  IRN KXN00153

  • SMF27 Partner (since 6 Nov 2023)
• Lisa Louise Smith

  IRN LXS00466

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 14 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 23 Nov 2022)
• Mary Delia Rice

  IRN MDR01107

  • CF4 Partner (3 May 2011 to 15 Aug 2017)
• Maxine Louise Guest

  IRN MLG01053

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (3 May 2011 to 8 Dec 2019)
• Michael Kevin Powell

  IRN MXP01409

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 8 Nov 2018)
  • CF4 Partner (8 Nov 2018 to 8 Dec 2019)
  • CF30 Customer (11 Nov 2013 to 8 Dec 2019)
• Oscar Joseph Goulding

  IRN OXG00021

  • [FCA CF] Functions requiring qualifications (21 Dec 2021 to 28 Feb 2024)
• Peter James Sharratt

  IRN PJS00057

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • Responsible for Insurance Mediation (3 May 2011 to 30 Sep 2018)
  • CF4 Partner (3 May 2011 to 8 Dec 2019)
  • CF30 Customer (3 May 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 May 2011 to 8 Dec 2019)
• Richard Somerville

  IRN RXS01022

  • SMF27 Partner (since 9 Jul 2024)
• Robert Michael Owen

  IRN RMO00005

  • CF30 Customer (3 May 2011 to 10 Dec 2012)
• Sarah Ellen Wildey

  IRN SXW00877

  • SMF27 Partner (since 23 Jul 2024)

No changes recorded yet.