Nailsea Financial Services Limited

• Principal Place of Business

  49 High Street

  Nailsea

  Bristol

  BS48 1AW

  UNITED KINGDOM

  Phone

  +4401275852000

  Web

  https://nailseafinancialservices.co.uk

• Complaints Contact

  49 High Street

  Nailsea

  Bristol

  BS48 1AW

  UNITED KINGDOM

  Phone

  +4401275852000

• 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 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: 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.

• 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, 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

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  • · The firm is limited to credit broking as a supplier of goods or services (other than a domestic premises supplier) carried on for the purposes of, or in connection with, the sale of goods or supply of services by the firm to a customer (who need not be the borrower under the credit agreement or the hirer under the consumer hire agreement) and, unless the firm is a not-for profit body, under which the obligation of the borrower to repay is not secured, and is not to be secured, by a legal mortgage on land.

• Stockbroking

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

• Debt Negotiation

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  • · This permission is limited to debt adjusting with no debt management activity

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• 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, 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.

• Alan Desmond Brown

  IRN ADB00045

  • CF30 Customer (1 Nov 2007 to 30 Apr 2013)
  • CF21 Investment Adviser (24 Jan 2003 to 31 Oct 2007)
• David Herbert Steele

  IRN DHS00020

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2024)
  • CF30 Customer (18 Feb 2013 to 8 Dec 2019)
  • CF21 Investment Adviser (24 Jan 2003 to 31 Oct 2007)
• Graham John Roberts

  IRN GJR00025

  • CF30 Customer (1 Nov 2007 to 3 Jul 2009)
  • CF21 Investment Adviser (24 Jan 2003 to 31 Oct 2007)
• James Robert Bellis

  IRN JXB01447

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 3 Jul 2023)
• Joanna Louise Prendergast

  IRN JLP01105

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
• John Martin Ham

  IRN JMH00074

  • 10. Broker fund adviser
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 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
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [PRA CF] Key function holder (since 9 Dec 2019)
  • [PRA CF] Managing a material risk taker (9 Dec 2019 to 10 May 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 May 2021)
  • CF30 Customer (1 Nov 2007 to 3 Jan 2013)
  • CF21 Investment Adviser (24 Jan 2003 to 31 Oct 2007)
  • CF1 Director (24 Jan 2003 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (24 Jan 2003 to 31 Mar 2009)
  • CF3 Chief Executive (24 Jan 2003 to 8 Dec 2019)
• Lee Aston Badger

  IRN LAB01089

  • 10. Broker fund adviser
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 2 Feb 2026)
  • [FCA CF] Functions requiring qualifications (since 2 Feb 2026)
• Michael Ball

  IRN MXB02913

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 10. Broker fund adviser
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (2 Jan 2012 to 8 Dec 2019)
• Richard Young

  IRN RXY00009

  • 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
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 10. Broker fund adviser
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [PRA CF] Key function holder (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 May 2021)
  • [PRA CF] Managing a material risk taker (9 Dec 2019 to 10 May 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (24 Jan 2003 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (24 Jan 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (24 Jan 2003 to 31 Oct 2007)
  • CF1 Director (24 Jan 2003 to 8 Dec 2019)
• Roger Kevin Hooper

  IRN RKH01058

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 10. Broker fund adviser
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (4 Jan 2010 to 8 Dec 2019)

No changes recorded yet.