Navigation Financial Services Ltd

Date authorised
1 April 2013
Companies House
03895415
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    48 Navigation Wharf
    Liverpool
    Liverpool
    L3 4DN
    UNITED KINGDOM
    Phone
    +4401517090710
    Web
    https://www.navigationfs.com

  • Complaints Contact

    48 Navigation Wharf
    Liverpool
    Liverpool
    L3 4DN
    UNITED KINGDOM
    Phone
    +4407889120830

What this firm is allowed to do

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

  • P2P Lending Advice

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

  • 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, Unit, Warrant

    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.

  • Authorised to Operate

    Show 1 limitation
    • · 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

    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.

  • 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
    • · 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.

  • Alan Chiang

    IRN AXC01518

    • [FCA CF] Client dealing (21 Apr 2021 to 7 Feb 2022)
    • [FCA CF] Functions requiring qualifications (21 Apr 2021 to 7 Feb 2022)
  • John Pearson

    IRN JXP00015

    • CF21 Investment Adviser (24 Apr 2003 to 1 Feb 2006)
    • CF1 Director (24 Apr 2003 to 25 Apr 2003)
  • Julie Mary Preston

    IRN JMP01189

    • Responsible for Insurance Mediation (7 Jan 2008 to 25 Sep 2018)
    • CF1 Director (7 Jan 2008 to 25 Sep 2018)
    • CF11 Money Laundering Reporting (7 Jan 2008 to 25 Sep 2018)
    • CF8 Apportionment and Oversight (7 Jan 2008 to 31 Mar 2009)
    • CF30 Customer (1 Nov 2007 to 25 Sep 2018)
    • CF21 Investment Adviser (26 Mar 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (30 Mar 2006 to 26 Mar 2007)
  • Nicholas Keith Pyne

    IRN NKP00002

    • 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 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (9 Oct 2018 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.