MERLIN FINANCIAL SERVICES LTD

• Principal Place of Business

  Camelot House

  60 Barbourne Road

  Worcester

  Worcestershire

  WR1 1JA

  UNITED KINGDOM

  Phone

  +4401905731315

  Web

  https://www.merlinfs.co.uk

• Complaints Contact

  Camelot House

  60 Barbourne Road

  Worcester

  Worcestershire

  WR1 1JA

  UNITED KINGDOM

  Phone

  +4401905731315

  Web

  https://www.merlinfs.co.uk

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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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  • · 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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• 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

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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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, Structured Deposits, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• 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”.

• Consumer Loans

• Loan Servicing

• 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

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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.

• Credit Score Services

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

• Alan Norman Stanton

  IRN ANS00013

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 8 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (29 Aug 2003 to 8 Dec 2019)
  • CF1 Director (31 Jan 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (31 Jan 2003 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (31 Jan 2003 to 31 Oct 2007)
• Andrew Peter Collyer

  IRN APC00033

  • 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)
  • [FCA CF] Client dealing (since 8 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (31 Jan 2003 to 8 Dec 2019)
  • CF10 Compliance Oversight (31 Jan 2003 to 1 Jul 2003)
  • CF21 Investment Adviser (31 Jan 2003 to 31 Oct 2007)
• Anthony John Harris

  IRN AJH00109

  • CF21 Investment Adviser (31 Jan 2003 to 22 Dec 2004)
• David Anthony Prior

  IRN DXP00103

  • CF30 Customer (1 Nov 2007 to 1 Dec 2008)
  • CF21 Investment Adviser (14 Apr 2004 to 31 Oct 2007)
• David Richard Coyne

  IRN DRC00041

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
  • [FCA CF] Client dealing (since 8 Mar 2021)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (24 Dec 2004 to 8 Dec 2019)
  • CF1 Director (12 Feb 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (12 Feb 2003 to 31 Oct 2007)
• Jason Richard Haines

  IRN JRH00049

  • Responsible for Insurance Mediation (23 Apr 2004 to 24 Dec 2004)
  • CF10 Compliance Oversight (22 Jul 2003 to 24 Dec 2004)
  • CF1 Director (31 Jan 2003 to 24 Dec 2004)
  • CF21 Investment Adviser (31 Jan 2003 to 24 Dec 2004)
  • CF24 Pension Transfer Specialist (31 Jan 2003 to 24 Dec 2004)
• Lynda Summers-Rodgers

  IRN LXS00045

  • CF30 Customer (1 Nov 2007 to 31 Dec 2013)
  • CF21 Investment Adviser (16 Oct 2003 to 31 Oct 2007)
  • CF1 Director (16 Oct 2003 to 31 Dec 2013)
• Michael Alan Smith

  IRN MAS00033

  • CF21 Investment Adviser (31 Jan 2003 to 30 Nov 2003)
• Neil David Woodward

  IRN NDW00014

  • CF21 Investment Adviser (31 Jan 2003 to 22 Dec 2004)
• Peter Martyn Smith

  IRN PMS00039

  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 8 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (28 Nov 2006 to 31 Oct 2007)
  • Responsible for Insurance Mediation (28 Nov 2006 to 30 Sep 2018)
  • CF21 Investment Adviser (31 Jan 2003 to 31 Oct 2007)
  • CF1 Director (31 Jan 2003 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (31 Jan 2003 to 21 Sep 2018)
  • CF8 Apportionment and Oversight (31 Jan 2003 to 31 Mar 2009)

No changes recorded yet.