ONE FINANCIAL ADVISER LTD

• 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

• 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

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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.
  • · 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

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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.

• Authorised to Operate

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  • · 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 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.

• 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 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.

• Lisa Marie Williams

  IRN LMC00014

  • CF10 Compliance Oversight (5 May 2015 to 27 May 2016)
  • CF11 Money Laundering Reporting (5 May 2015 to 27 May 2016)
• Mark Cappell

  IRN MXC03187

  • CF3 Chief Executive (5 May 2016 to 24 May 2017)
  • CF1 Director (5 May 2016 to 24 May 2017)
• Mark Julian Grimes

  IRN MJG01407

  • CF30 Customer (11 Oct 2018 to 30 Apr 2019)
  • CF1 Director (25 Apr 2016 to 30 Apr 2019)
• Michael Holland

  IRN MXH01559

  • SMF3 Executive Director (9 Dec 2019 to 20 Oct 2021)
  • CF1 Director (30 Sep 2014 to 8 Dec 2019)
• Panos Anagnostopoulos

  IRN PXA01531

  • CF11 Money Laundering Reporting (1 Jun 2017 to 29 Jan 2018)
  • CF10 Compliance Oversight (1 Jun 2017 to 29 Jan 2018)
• Paul Gerard McNamara

  IRN PXM01872

  • Director of firm who is not a certification employee or a SMF manager (16 Oct 2021 to 20 Oct 2022)
  • SMF3 Executive Director (9 Dec 2019 to 16 Oct 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 16 Oct 2021)
  • Responsible for Insurance Mediation (10 Aug 2017 to 30 Sep 2018)
  • CF3 Chief Executive (27 Jul 2017 to 16 Aug 2019)
  • CF1 Director (27 Jul 2017 to 8 Dec 2019)
• Peter Nicholas Howard-Jones

  IRN PNH00005

  • Director of firm who is not a certification employee or a SMF manager (since 20 Apr 2021)
• Philip Howard Bray

  IRN PHB01042

  • CF10 Compliance Oversight (30 Sep 2014 to 16 Dec 2014)
  • CF11 Money Laundering Reporting (30 Sep 2014 to 16 Dec 2014)
  • CF30 Customer (30 Sep 2014 to 16 Dec 2014)
• Rosalind Samantha Sutoris

  IRN RSS01133

  • SMF16 Compliance Oversight (9 Dec 2019 to 14 Feb 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 16 Apr 2020)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 16 Apr 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Apr 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Feb 2021)
  • CF11 Money Laundering Reporting (29 Jan 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (29 Jan 2018 to 8 Dec 2019)
  • CF30 Customer (5 Jun 2017 to 8 Dec 2019)
• Rowan William Seabrook Higgs

  IRN RWH01165

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 19 Jan 2024)
  • [FCA CF] Functions requiring qualifications (since 19 Jan 2024)

No changes recorded yet.