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.

• Neil Spirit

  IRN NDS01057

  • [FCA CF] Manager of certification employee (1 Sep 2020 to 18 Feb 2023)
• Neil Taylor

  IRN NXJ01206

  • CF30 Customer (14 Nov 2012 to 31 Dec 2014)
• Neil Wesson

  IRN NXW00023

  • [FCA CF] Manager of certification employee (1 Sep 2020 to 11 Apr 2021)
• Neill Shaw

  IRN NRS01063

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 2 Jan 2025)
  • CF30 Customer (18 Aug 2010 to 2 Jan 2025)
• Nia Dewsbury

  IRN NXD01305

  • CF1 Director (AR) (7 Feb 2012 to 31 Dec 2012)
• Nicholas Chamberlain

  IRN NMC00020

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 30 Aug 2023)
  • CF30 Customer (since 21 Aug 2023)
• Nicholas Charles Vivian Jones

  IRN NCJ00005

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 17 Jul 2024)
  • CF1 Director (AR) (26 Jan 2011 to 17 Jul 2024)
  • CF30 Customer (14 Sep 2010 to 17 Jul 2024)
• Nicholas Coard

  IRN NXC01315

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Apr 2022)
  • CF30 Customer (19 Nov 2010 to 1 Apr 2022)
• Nicholas Davies

  IRN NAD01073

  • Appointed representative dealing with clients for which they require qualification (8 Apr 2020 to 28 Apr 2023)
  • CF30 Customer (8 Apr 2020 to 28 Apr 2023)
• Nicholas Edward Kelly

  IRN NEK00002

  • CF1 Director (AR) (18 Aug 2014 to 22 Aug 2025)

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No changes recorded yet.