Quilter Financial Limited

• Principal Place of Business

  Senator House

  85 Queen Victoria Street

  London

  EC4V 4AB

  UNITED KINGDOM

  Phone

  +442075625800

  Web

  https://www.quilter.com

• Complaints Contact

  Quilter Financial Planning Complaints Department

  Sunderland

  SR43 4JR

  UNITED KINGDOM

  Phone

  +448081415077

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to counselling for investment advice

• Equity Release Setup

  For Customer, Home reversion plans

• 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.

• Hollie Swift

  IRN SXH01823

  • SMF4 Chief Risk (28 Jan 2022 to 15 Jun 2023)
  • SMF16 Compliance Oversight (28 Jan 2022 to 15 Jun 2023)
  • SMF7 Group Entity Senior Manager (25 Nov 2020 to 28 Jan 2022)
• Howard Alan Kay

  IRN HAK00001

  • CF30 Customer (2 Aug 2010 to 4 Nov 2010)
• Howard John Alexander Rice

  IRN HJR00001

  • CF30 Customer (28 Nov 2012 to 24 Feb 2017)
• Howard Penry Jones

  IRN HPJ00001

  • CF1 Director (AR) (6 Sep 2010 to 2 Nov 2011)
• Howard Spargo

  IRN HTS01014

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 14 Mar 2024)
  • CF4 Partner (AR) (2 Sep 2013 to 14 Mar 2024)
  • CF30 Customer (4 Jan 2012 to 14 Mar 2024)
• Hugh O'Hear

  IRN HXO00006

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Oct 2024)
  • CF30 Customer (17 Oct 2016 to 31 Oct 2024)
• Hugo Alexander Lewis

  IRN HXL00269

  • 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)
  • Appointed representative dealing with clients for which they require qualification (since 12 Mar 2026)
  • CF30 Customer (since 1 Mar 2026)
• Hywel Williams

  IRN HXW00017

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (12 Nov 2012 to 31 Mar 2025)
• Iain Fullarton

  IRN IAF01016

  • CF1 Director (AR) (25 Feb 2014 to 31 Oct 2017)
  • CF30 Customer (1 Nov 2010 to 31 Oct 2017)
• Ian Anthony Newrick

  IRN IAN01023

  • CF30 Customer (31 Oct 2011 to 29 Aug 2017)

• Mr Les Oates (no longer appointed)

  FRN 596754 · Appointed 4 Mar 2013 · Until 10 Feb 2014

• Independent Insurance Information Ltd (no longer appointed)

  FRN 158283 · Appointed 26 Feb 2013 · Until 13 Jun 2013

• Elementary Ltd (no longer appointed)

  FRN 231516 · Appointed 26 Feb 2013 · Until 15 Aug 2019

• Sutherland Mayfair Financial Planning Ltd (no longer appointed)

  FRN 596157 · Appointed 22 Feb 2013 · Until 31 Oct 2016

• Butler Capital Financial Management LLP (no longer appointed)

  FRN 593986 · Appointed 9 Jan 2013 · Until 31 Oct 2016

• Cedar Wealth Limited (no longer appointed)

  FRN 591372 · Appointed 15 Nov 2012 · Until 30 Apr 2014

• Woodwards Financial Planning Ltd (no longer appointed)

  FRN 471819 · Appointed 15 Nov 2012 · Until 18 Dec 2014

• Apex Wealth Management Limited (no longer appointed)

  FRN 582717 · Appointed 13 Jun 2012 · Until 15 Dec 2017

• Robert Markham & Associates (no longer appointed)

  FRN 581321 · Appointed 16 May 2012 · Until 5 Apr 2013

• Mark Streatfield & Associates (no longer appointed)

  FRN 578129 · Appointed 23 Mar 2012 · Until 5 Apr 2013

No changes recorded yet.