ONE FINANCIAL ADVISER LTD

Date authorised
30 September 2014
Companies House
07604100
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    One Financial Adviser Ltd
    Benyon House
    Newbury Business Park
    London Road
    Newbury
    West Berkshire
    RG14 2PZ
    UNITED KINGDOM
    Phone
    +4401635780142
    Web
    https://www.onefinancialadviser.com

  • Complaints Contact

    One Financial Adviser Ltd
    Benyon House
    Newbury Business Park
    London Road
    Newbury
    West Berkshire
    RG14 2PZ
    UNITED KINGDOM
    Phone
    +4401635780142

What this firm is allowed to do

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

  • 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

    Show 2 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.
    • · 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 Advice (no pensions)

    For 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 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 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.

  • Ashok Kumar Gupta

    IRN AKG01021

    • SMF3 Executive Director (9 Dec 2019 to 16 May 2021)
    • CF1 Director (20 Sep 2017 to 8 Dec 2019)
  • Charlotte Mary Clarke

    IRN CMC00015

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Jan 2022)
  • Chetan Vishram Velani

    IRN CXV00038

    • SMF3 Executive Director (since 24 Jul 2021)
  • Daniel William Bird Bartling

    IRN DWB01153

    • [FCA CF] Manager of certification employee (1 Sep 2020 to 3 Sep 2021)
    • [FCA CF] Functions requiring qualifications (1 Sep 2020 to 3 Sep 2021)
  • David George Metcalf

    IRN DGM01169

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 22 Jan 2024)
    • SMF3 Executive Director (since 23 Feb 2023)
    • Responsible for Insurance Distribution (since 23 Feb 2023)
    • [FCA CF] Functions requiring qualifications (since 14 Dec 2020)
  • Dominic Richard Hunter Timberlake

    IRN DRT01037

    • CF1 Director (30 Sep 2014 to 13 Nov 2014)
  • Gemma Elizabeth Brazier

    IRN GEM00026

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 14 Dec 2020)
    • CF10 Compliance Oversight (6 Jun 2016 to 1 Jun 2017)
    • CF11 Money Laundering Reporting (6 Jun 2016 to 1 Jun 2017)
  • Graham Bruce Moss

    IRN GBM01049

    • SMF1 Chief Executive (since 24 Jul 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (30 Sep 2014 to 8 Dec 2019)
  • Irene Anne Goh

    IRN IAG01038

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 7 Mar 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Mar 2023)
    • [FCA CF] Functions requiring qualifications (since 6 Dec 2022)
  • James William Nicholas

    IRN JXN01582

    • [FCA CF] Functions requiring qualifications (10 Jan 2022 to 21 Dec 2023)
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Recent activity

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

No changes recorded yet.