Redfield

• Principal Place of Business

  Allied House

  Bryn Lane

  Wrexham

  Wrexham County Borough

  LL13 9UT

  UNITED KINGDOM

  Phone

  +4401978661795

  Web

  https://www.redfield.co.uk

• Complaints Contact

  Allied House

  Bryn Lane

  Wrexham

  Wrexham County Borough

  LL13 9UT

  UNITED KINGDOM

  Phone

  +4401978661795

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Professional, Retail (Investment)

• Pension Transfer Advice

  For Professional, Retail (Investment), 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: 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 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 (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

• 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.

• 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 (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

• 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

• 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 (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

• Nicholas Derek Partington

  IRN NDP00024

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 21 Jun 2011)
  • CF10 Compliance Oversight (15 Jun 2006 to 8 Dec 2019)
  • CF21 Investment Adviser (15 Jun 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (15 Jun 2006 to 8 Dec 2019)
  • CF7 Sole Trader (31 Oct 2004 to 31 Jan 2007)
  • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)
• Nicholas Gordon Loggin

  IRN NGL00005

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

  IRN NSM00009

  • CF1 Director (AR) (5 Dec 2013 to 28 Jul 2014)
  • CF30 Customer (5 Dec 2013 to 28 Jul 2014)
• Nykki Dale

  IRN SND01030

  • CF30 Customer (20 Dec 2013 to 29 Jul 2014)

• Heritage Wealth Management Limited (no longer appointed)

  FRN 517863 · Appointed 20 Nov 2013 · Until 30 Jul 2014

No changes recorded yet.