P J Clifton Financial Services

• Principal Place of Business

  P J Clifton Financial Services

  The Paddocks

  Jockey Lane

  Huntington

  York

  YO32 9NE

  UNITED KINGDOM

  Phone

  +4401904643260

• Complaints Contact

  P J Clifton Financial Services

  The Paddocks

  Jockey Lane

  Huntington

  York

  YO32 9NE

  UNITED KINGDOM

  Phone

  +4401904643260

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

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  • · 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 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.

• 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

  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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• Debt Advice

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  • · This activity is limited to relevant credit activities as defined in paragraph 2G of Schedule 6 of the Financial Services and Markets Act 2000

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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 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.

• Jane Martin

  IRN JXM00483

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Liam James Clarke

  IRN LJC01106

  • CF30 Customer (1 Nov 2007 to 1 Nov 2007)
  • CF22 Investment Adviser (Trainee) (12 Jan 2006 to 31 Oct 2007)
• Mark Anthony Fisher

  IRN MAF01114

  • CF21 Investment Adviser (13 May 2004 to 10 Apr 2006)
  • CF22 Investment Adviser (Trainee) (9 Jun 2003 to 13 May 2004)
• Mark Pitt

  IRN MXP00461

  • [FCA CF] Client dealing (13 Oct 2021 to 13 Feb 2023)
  • [FCA CF] Functions requiring qualifications (13 Oct 2021 to 13 Feb 2023)
• Mauro Sergio Ivano Arcidiacono

  IRN MSA01078

  • CF22 Investment Adviser (Trainee) (21 Jul 2006 to 3 Mar 2007)
• Nicholas Shane Bloxham

  IRN NSB00012

  • CF4 Partner (1 Dec 2001 to 23 Sep 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 20 Dec 2006)
• Nigel Abbott

  IRN NXA01178

  • CF22 Investment Adviser (Trainee) (12 May 2003 to 31 Dec 2004)
• Paul David Tallet

  IRN PDT00003

  • SMF27 Partner (9 Dec 2019 to 28 May 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Apr 2021)
  • CF4 Partner (9 Nov 2018 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (17 Aug 2007 to 31 Oct 2007)
• Peter Jason Feavers

  IRN PJF01126

  • CF22 Investment Adviser (Trainee) (2 Sep 2003 to 10 Apr 2006)
• Peter John Clifton

  IRN PJC00039

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 9A. Advising on P2P agreements
  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Proprietary trader (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)

• Friends Estate Agency (no longer appointed)

  FRN 225042 · Appointed 15 May 2003 · Until 2 Apr 2009

No changes recorded yet.