OMNI - FINANCIAL LTD

• Principal Place of Business

  Omni Financial Ltd

  2d The Courtyard

  Alban Park

  Hatfield Road

  St. Albans

  Hertfordshire

  AL4 0LA

  UNITED KINGDOM

  Phone

  +441727223251

  Web

  https://www.omni-financial.co.uk

• Complaints Contact

  Omni Financial Ltd

  2d The Courtyard

  Alban Park

  Hatfield Road

  St. Albans

  Hertfordshire

  AL4 0LA

  UNITED KINGDOM

  Phone

  +441727223251

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

  Show 2 limitations Hide limitations

  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For Commercial, 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, 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

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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.

• Candice Olivia Fields

  IRN CXF23069

  • [FCA CF] Functions requiring qualifications (20 Jan 2025 to 15 Apr 2025)
  • [FCA CF] Client dealing (20 Jan 2025 to 15 Apr 2025)
• Guy Noel Swinnerton

  IRN GNS00005

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 16 Sep 2016)
  • CF1 Director (16 Sep 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (16 Sep 2016 to 30 Sep 2018)
  • CF30 Customer (16 Sep 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (16 Sep 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (16 Sep 2016 to 8 Dec 2019)
• Helen Marie Baister

  IRN HXB00006

  • CF30 Customer (16 Sep 2016 to 16 Mar 2017)
• James Hartley-Swinnerton

  IRN JXH01241

  • 10. Broker fund adviser
  • 14. Managing investments
  • 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
  • [FCA CF] Functions requiring qualifications (since 20 Jan 2025)
  • [FCA CF] Client dealing (since 20 Jan 2025)
  • Appointed representative dealing with clients for which they require qualification (since 31 May 2022)
• Michael Andrew Pushong

  IRN MAP00005

  • Appointed representative dealing with clients for which they require qualification (1 Dec 2020 to 2 Dec 2020)
  • [FCA CF] Client dealing (1 Dec 2020 to 9 Feb 2026)
  • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 9 Feb 2026)
• Paul Steven Hazard

  IRN PSH00006

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 13 Feb 2026)
  • CF1 Director (16 Sep 2016 to 8 Dec 2019)
  • CF30 Customer (16 Sep 2016 to 8 Dec 2019)
• Philip Michael Richard Spratt-Callaghan

  IRN PMS00012

  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (16 Sep 2016 to 8 Dec 2019)
• Roberto Cecere

  IRN RXC01581

  • 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
  • Appointed representative dealing with clients for which they require qualification (since 30 Sep 2022)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2022)
  • CF30 Customer (16 Sep 2016 to 8 Dec 2019)
• Stuart Dennis Mason Bigham

  IRN SDB01143

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2025)
  • CF30 Customer (8 Aug 2018 to 8 Dec 2019)
• Victoria Elisabeth Moses

  IRN VEE00001

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2020 to 22 Mar 2021)

No changes recorded yet.