ONE FINANCIAL ADVISER LTD

Date authorised
30 September 2014
Companies House
07604100
Last scraped
2 weeks ago
Watch for changes

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.

  • Sally Elizabeth Rigg

    IRN SER00009

    • SMF16 Compliance Oversight (9 Jun 2021 to 6 Jan 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Jun 2021 to 6 Jan 2023)
  • Samantha Anne Seaton

    IRN SAS01355

    • CF1 Director (30 Sep 2014 to 3 Dec 2015)
    • Responsible for Insurance Mediation (30 Sep 2014 to 3 Dec 2015)
  • Stephen Niall Campbell

    IRN SXC00554

    • SMF3 Executive Director (since 24 Jul 2021)
  • Stephen Rumbles

    IRN SJR00014

    • CF2 Non Executive Director (30 Sep 2014 to 1 Apr 2016)

Recent activity

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

No changes recorded yet.