Midland Financial Advisers Limited

• Principal Place of Business

  Midland Financial Advisers

  Midland Buildings

  Bridge Street

  Oakengates

  Telford

  Telford And Wrekin

  TF2 6AH

  UNITED KINGDOM

  Phone

  +4401952616177

  Web

  https://www.mfa-ifa.co.uk

• Complaints Contact

  Midland Financial Advisers

  Midland Buildings

  Bridge Street

  Oakengates

  Telford

  Telford And Wrekin

  TF2 6AH

  UNITED KINGDOM

  Phone

  +4401952616177

• 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 2 limitations Hide limitations

  • · 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 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, Home reversion plans

• 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

• 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

• 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”.

• Equity Release Setup

  For Customer, Home reversion plans

• 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

• Adam John Smith

  IRN AJS01751

  • 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
  • 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
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • CF30 Customer (2 Mar 2017 to 8 Dec 2019)
• Andrew John Kenny

  IRN AXK00130

  • [FCA CF] Client dealing (2 Dec 2020 to 31 Dec 2022)
  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 31 Dec 2022)
• Brian Wilfred Thomas Foster

  IRN BWF00002

  • [FCA CF] Client dealing (2 Dec 2020 to 23 Jul 2021)
  • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 23 Jul 2021)
• Byron Lloyd Cartwright

  IRN BLC00002

  • CF30 Customer (1 Nov 2007 to 8 Sep 2016)
  • CF21 Investment Adviser (27 Sep 2006 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (3 Jan 2006 to 31 Mar 2009)
  • CF1 Director (3 Jan 2006 to 16 Jul 2012)
  • CF11 Money Laundering Reporting (3 Jan 2006 to 5 Jan 2009)
  • CF10 Compliance Oversight (3 Jan 2006 to 30 Dec 2011)
  • Responsible for Insurance Mediation (3 Jan 2006 to 30 Oct 2008)
• Christopher Frederick Chattaway

  IRN CFC00002

  • 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
  • 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] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • Responsible for Insurance Distribution (since 11 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (14 Mar 2012 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (16 May 2006 to 31 Oct 2007)
  • CF1 Director (3 Jan 2006 to 8 Dec 2019)
• Donna Monique Annette Malone

  IRN DMM00049

  • SMF3 Executive Director (9 Dec 2019 to 4 Dec 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 5 Dec 2019)
  • Responsible for Insurance Mediation (30 Oct 2008 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (16 May 2006 to 31 Oct 2007)
  • CF1 Director (3 Jan 2006 to 8 Dec 2019)
• Eric Hayreh

  IRN EXH00003

  • CF30 Customer (1 Nov 2007 to 19 Dec 2008)
  • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
• Graham Dudfield

  IRN GXD00008

  • 9A. Advising on P2P agreements
  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
• Helena Amy Cartwright

  IRN HXC00291

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 12 Feb 2024)
  • [FCA CF] Client dealing (since 12 Feb 2024)
• John Michael Pearce

  IRN JMP00012

  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 9A. Advising on P2P agreements
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (9 Mar 2007 to 31 Oct 2007)

No changes recorded yet.