O'Connor and Co (Financial Services) Limited

Date authorised
1 April 2013
Companies House
07498979
Last scraped
1 day ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Windsor House
    Cliftonville
    Northampton
    NN1 5BE
    UNITED KINGDOM
    Phone
    +4401604219282
    Web
    https://www.oconnorfs.co.uk

  • Complaints Contact

    Windsor House
    Cliftonville
    Northampton
    NN1 5BE
    UNITED KINGDOM
    Phone
    +4401604219282
    Web
    https://www.oconnorfs.co.uk

What this firm is allowed to do

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

  • P2P Lending Advice

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

  • Pension Transfer Advice

    For Retail (Investment), Unit, Stakeholder pension scheme, Personal pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Life Policy

    Show 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
    • · 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 Retail (Investment), Commercial, Retail (Non-Investment Insurance), Structured Deposits, Warrant, Unit, Stakeholder pension scheme, Share, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Personal pension scheme, Non-investment insurance contracts, Life Policy, Government and public security, Debenture, Certificates representing certain security

    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, Retail (Investment), Retail (Non-Investment Insurance), Structured Deposits, Warrant, Unit, Stakeholder pension scheme, Share, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Personal pension scheme, Non-investment insurance contracts, Life Policy, Government and public security, Debenture, Certificates representing certain security

    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, Retail (Investment), Retail (Non-Investment Insurance), Structured Deposits, Warrant, Unit, Stakeholder pension scheme, Share, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Personal pension scheme, Non-investment insurance contracts, Life Policy, Government and public security, Debenture, Certificates representing certain security

    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.

  • Edwin Leonard Slinn

    IRN ELS00005

    • (1)CF1 Director (19 Aug 2011 to 8 Aug 2018)
  • Frances Amy Gould

    IRN FAG01024

    • (11)4. Giving personal recommendations on retail investment products which are not broker funds
    • (9)9A. Advising on P2P agreements
    • (10)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (12)SMF3 Executive Director (since 5 Aug 2022)
    • (14)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (13)[FCA CF] Client dealing (since 9 Dec 2019)
    • (10)CF30 Customer (7 Jul 2014 to 8 Dec 2019)
  • Joanne Mara

    IRN JHW00038

    • (5)[FCA CF] Manager of certification employee (9 Dec 2019 to 17 Apr 2020)
    • (6)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Apr 2020)
    • (4)CF30 Customer (5 Apr 2017 to 8 Dec 2019)
  • John Cameron Hunter

    IRN JCH00062

    • (23)[FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
    • (17)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jun 2023)
    • (18)SMF16 Compliance Oversight (9 Dec 2019 to 1 Jun 2023)
    • (19)SMF3 Executive Director (9 Dec 2019 to 1 Nov 2023)
    • (24)[FCA CF] Manager of certification employee (9 Dec 2019 to 24 Mar 2021)
    • (26)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2023)
    • (27)[FCA CF] Significant management (9 Dec 2019 to 24 Mar 2021)
    • (15)Responsible for Insurance Distribution (1 Oct 2018 to 1 Jun 2023)
    • (25)CF1 Director (19 Aug 2011 to 8 Dec 2019)
    • (16)Responsible for Insurance Mediation (19 Aug 2011 to 30 Sep 2018)
    • (22)CF10 Compliance Oversight (19 Aug 2011 to 8 Dec 2019)
    • (21)CF11 Money Laundering Reporting (19 Aug 2011 to 8 Dec 2019)
    • (20)CF30 Customer (19 Aug 2011 to 31 Dec 2012)
  • Louise Margaret Tait

    IRN LXW16332

    • (2)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (1)9A. Advising on P2P agreements
    • (3)4. Giving personal recommendations on retail investment products which are not broker funds
    • (5)SMF16 Compliance Oversight (since 1 Jun 2023)
    • (4)SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Jun 2023)
    • (6)SMF3 Executive Director (since 5 Aug 2022)
    • (8)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (7)[FCA CF] Client dealing (since 9 Dec 2019)
    • (7)CF30 Customer (25 Jun 2019 to 8 Dec 2019)
  • Paul David Valentine

    IRN PDV00006

    • (16)SMF3 Executive Director (since 12 Aug 2020)
    • (15)Responsible for Insurance Distribution (since 12 Aug 2020)
    • (11)CF30 Customer (19 Aug 2011 to 31 Dec 2012)
  • Stephen Neil John

    IRN SNJ00001

    • (3)CF1 Director (10 Oct 2011 to 11 Apr 2017)
    • (2)CF30 Customer (19 Aug 2011 to 11 Apr 2017)
  • Steven Michel Kallika

    IRN SMK00006

    • (8)[FCA CF] Client dealing (24 Apr 2023 to 31 Jul 2025)
    • (9)[FCA CF] Functions requiring qualifications (24 Apr 2023 to 31 Jul 2025)
  • Wendy Julie Spillane

    IRN WJS00029

    • (12)SMF3 Executive Director (9 Dec 2019 to 30 Jun 2022)
    • (14)CF1 Director (4 Jul 2013 to 8 Dec 2019)
    • (13)CF30 Customer (19 Aug 2011 to 31 Dec 2012)

Recent activity

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

  1. controlled function added: (23)[FCA CF] Client dealing

  2. controlled function added: (22)CF10 Compliance Oversight

  3. controlled function added: (21)CF11 Money Laundering Reporting

  4. controlled function added: (20)CF30 Customer

  5. controlled function added: (19)SMF3 Executive Director

  6. controlled function added: (18)SMF16 Compliance Oversight

  7. controlled function added: (17)SMF17 Money Laundering Reporting Officer (MLRO)

  8. controlled function added: (16)Responsible for Insurance Mediation

  9. controlled function added: (15)Responsible for Insurance Distribution

  10. controlled function added: (14)CF1 Director

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