Nicholls Stevens (Financial Services) Limited

• Principal Place of Business

  Nicholls Stevens Financial Services

  9 St. Augustines Parade

  Bristol

  Bristol, City Of

  BS1 4UT

  UNITED KINGDOM

  Phone

  +441179290456

  Web

  https://www.nichollstevens.com

• Complaints Contact

  Nicholls Stevens Financial Services

  9 St. Augustines Parade

  Bristol

  Bristol, City Of

  BS1 4UT

  UNITED KINGDOM

  Phone

  +441179290456

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Eligible Counterparty, 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 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.

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, 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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Islamic Mortgage Setup

  For Customer, Home purchase plans

• 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, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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 Arthur Grimes

  IRN AAG00004

  • CF30 Customer (21 Aug 2015 to 1 Sep 2018)
• Carole Patricia Nicholls

  IRN CPN00002

  • 11. Pension transfer specialist
  • 17. Administrative functions in relation to managing investments
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 21A. Designing scripted questions for execution-only sales of regulated mortgage contracts for a non-business purpose
  • 22. Designing scripted questions for execution-only sales of 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (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)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 7 Dec 2016)
  • CF10 Compliance Oversight (3 Aug 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Aug 2015 to 8 Dec 2019)
  • CF1 Director (3 Aug 2015 to 8 Dec 2019)
  • CF30 Customer (3 Aug 2015 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 Aug 2015 to 30 Sep 2018)
• Christopher Mark Lee

  IRN CML01028

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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 30 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 30 Nov 2024)
• Claire Dunn

  IRN CXD00310

  • Director of firm who is not a certification employee or a SMF manager (since 20 Oct 2025)
  • [FCA CF] Functions requiring qualifications (1 Nov 2022 to 9 Jun 2023)
  • [FCA CF] Client dealing (1 Nov 2022 to 9 Jun 2023)
• David Christopher John Billingham

  IRN DXB22250

  • CF30 Customer (19 Oct 2019 to 8 Dec 2019)
• Hannah Nicholls

  IRN HXN01143

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (1 May 2017 to 8 Dec 2019)
• Leigh Cecil

  IRN LXC01852

  • CF30 Customer (18 Oct 2017 to 28 Sep 2018)
• Matthew Peter Haynes

  IRN MPH01173

  • 17. Administrative functions in relation to managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 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 22 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (13 Jul 2018 to 8 Dec 2019)
• Peter Gordon Thomas

  IRN PGT00001

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 17 Jun 2025)
  • CF2 Non Executive Director (30 Jun 2018 to 8 Dec 2019)
  • CF30 Customer (2 Oct 2015 to 8 Dec 2019)
• Philippa Hann

  IRN PXH02151

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (12 Mar 2018 to 8 Dec 2019)

• Peter Thomas (no longer appointed)

  FRN 224972 · Appointed 11 Sep 2015 · Until 1 Oct 2021

No changes recorded yet.