Legal & General Financial Advice Ltd

Date authorised
30 September 2019
Companies House
11901252
Last scraped
6 days ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    4th Floor Chadwick House
    Warwick Road
    Solihull
    West Midlands
    B91 2AA
    UNITED KINGDOM
    Phone
    +4408082913454
    Web
    https://www.legalandgeneral.com/contact-us/

  • Complaints Contact

    4th Floor Chadwick House
    Warwick Road
    Solihull
    West Midlands
    B91 2AA
    UNITED KINGDOM
    Phone
    +4408082913454

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

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

  • Arranges Investments

    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
    • · 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

  • Arranges Asset Safekeeping

    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
    • · 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 Retail (Non-Investment Insurance), Life Policy

  • Debt Advice

    Show 1 limitation
    • · 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 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Omar Orville Morris

    IRN OXM01057

    • 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 2020)
  • Paula Llewellyn

    IRN PXL01795

    • SMF1 Chief Executive (since 10 Oct 2022)
    • SMF3 Executive Director (since 10 Oct 2022)
    • Responsibility for MCD Intermediation (6 Dec 2022 to 21 Aug 2023)
    • [FCA CF] Significant management (1 Jan 2022 to 10 Oct 2022)
  • Phillip Ambler

    IRN PXA00026

    • [FCA CF] Functions requiring qualifications (1 Apr 2020 to 23 Jul 2021)
  • Rebecca Michele McLean

    IRN RXM10965

    • SMF16 Compliance Oversight (9 Dec 2019 to 7 Dec 2020)
    • CF10 Compliance Oversight (30 Sep 2019 to 8 Dec 2019)
  • Richard Bethune

    IRN RXB20948

    • SMF17 Money Laundering Reporting Officer (MLRO) (25 Nov 2022 to 30 Aug 2024)
  • Richard STANIFORD

    IRN RDS00020

    • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 28 Feb 2023)
  • Ronald Crowton

    IRN RXC00165

    • [FCA CF] Functions requiring qualifications (1 Apr 2020 to 26 Jan 2021)
  • Samantha Carroll

    IRN SXC00258

    • SMF16 Compliance Oversight (8 Apr 2021 to 8 Mar 2022)
  • Samantha Fletcher

    IRN SXF00167

    • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 28 Feb 2022)
  • Sammy Korc

    IRN SXK01052

    • SMF3 Executive Director (since 26 Feb 2026)
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Recent activity

Updates to this firm's record on the FCA register.

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