Optima Financial Services Ltd.

Date authorised
1 April 2013
Companies House
SC202196
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Optima Financial Services Ltd
    2 Bon Accord Square
    Aberdeen
    Aberdeen City
    AB11 6DJ
    UNITED KINGDOM
    Phone
    +4401224212128
    Web
    https://www.optima-fs.co.uk

  • Complaints Contact

    Optima Financial Services Ltd
    2 Bon Accord Square
    Aberdeen
    Aberdeen City
    AB11 6DJ
    UNITED KINGDOM
    Phone
    +441224212128

What this firm is allowed to do

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

  • P2P Lending Advice

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

  • Pension Transfer Advice

    For Professional, 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
    • · 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 Commercial, Professional, 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
    • · 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, Professional, 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

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Investment Setup

    For Commercial, Professional, 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
    • · 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.

  • Allan Wilson Abernethy

    IRN WXA00008

    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF24 Pension Transfer Specialist (31 Jan 2002 to 31 Oct 2007)
    • CF21 Investment Adviser (31 Jan 2002 to 31 Oct 2007)
  • Anthony John Harvie

    IRN AJH00036

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (since 5 Jun 2008)
    • CF1 Director (AR) (since 5 Jun 2008)
    • CF11 Money Laundering Reporting (25 Jun 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Jun 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (25 Jun 2013 to 30 Sep 2018)
    • CF1 Director (26 Jun 2008 to 8 Dec 2019)
  • Campbell Scott

    IRN CXS01546

    • CF1 Director (AR) (15 Aug 2016 to 2 Sep 2019)
  • Carolyn McVey

    IRN CXM01758

    • CF30 Customer (28 Apr 2014 to 10 Dec 2014)
  • David Geoffrey Baker

    IRN DGB00005

    • CF30 Customer (5 Jun 2008 to 17 May 2016)
  • David Norman Murray Craik

    IRN DNC00010

    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (AR) (since 5 Jun 2008)
    • CF30 Customer (since 1 Nov 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 13 Jun 2013)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 13 Jun 2013)
    • CF10 Compliance Oversight (1 Dec 2001 to 13 Jun 2013)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • John Pope

    IRN JXP01349

    • CF21 Investment Adviser (22 Aug 2002 to 31 Jan 2004)
  • John Spencer Atkinson

    IRN JSA00016

    • CF1 Director (1 Dec 2001 to 31 Dec 2004)
  • Lorraine Hardy

    IRN LXH01619

    • CF1 Director (AR) (11 Aug 2016 to 2 Sep 2019)
  • Margaret McIntosh

    IRN MXV00016

    • CF30 Customer (5 Jun 2008 to 18 Nov 2009)
Show more

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.