Norfolk & Suffolk Financial Services Limited

• Principal Place of Business

  3 Quay View Business Park

  Barnards Way

  Lowestoft

  Suffolk

  NR32 2HD

  UNITED KINGDOM

  Phone

  +441502501922

  Web

  https://www.norfolkandsuffolk.co.uk

• Complaints Contact

  3 Quay View Business Park

  Barnards Way

  Lowestoft

  Suffolk

  NR32 2HD

  UNITED KINGDOM

  Phone

  +441502501922

• 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

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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.

• 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

  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

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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

  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

• Credit Brokering

• Stockbroking

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

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity. This permission is limited to debt counselling in connection with investment advice and advice on Buy To Let mortgages.

• Equity Release Setup

  For Customer, Home reversion plans

• 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

  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.

• Adam Clarke

  IRN ARC01176

  • CF30 Customer (1 Sep 2010 to 18 Sep 2015)
• Adam Laurence Sivell

  IRN ALS01101

  • CF30 Customer (2 Oct 2008 to 7 Sep 2009)
• Brian Arthur Shreeve

  IRN BAS00010

  • CF21 Investment Adviser (1 Dec 2001 to 29 Dec 2006)
• Chad Alistair Morris

  IRN CAM00067

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (21 Jun 2005 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (8 Jul 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• David Walker

  IRN DXW00017

  • CF30 Customer (1 Nov 2007 to 19 Jan 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
• Graeme Jolly

  IRN GXJ00007

  • CF1 Director (1 Dec 2001 to 2 Aug 2004)
• Ian Paul Smith

  IRN IPS00012

  • CF30 Customer (1 Nov 2007 to 3 Dec 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Jodie Maria Kemsley

  IRN JXW19008

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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)
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (23 Aug 2019 to 8 Dec 2019)
• Michael Dodgson

  IRN MXD00137

  • CF11 Money Laundering Reporting (22 Jun 2010 to 30 Jun 2016)
  • CF30 Customer (1 Nov 2007 to 30 Jun 2016)
  • CF10 Compliance Oversight (25 Jul 2005 to 30 Jun 2016)
  • CF21 Investment Adviser (17 Nov 2004 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (17 Nov 2004 to 31 Oct 2007)
• Michael Ian Davies

  IRN MID00001

  • 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
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 8 Jul 2016)
  • CF10 Compliance Oversight (8 Jul 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Jul 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (4 Jun 2010 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)

No changes recorded yet.