Rees Astley Independent Financial Advisers Limited

Date authorised
1 April 2013
Companies House
01076337
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    St David's House
    New Road
    Newtown
    Powys
    SY16 1RB
    UNITED KINGDOM
    Phone
    +4401686626616
    Web
    https://www.reesastleyifa.co.uk

  • Complaints Contact

    St David's House
    New Road
    Newtown
    Powys
    SY16 1RB
    UNITED KINGDOM
    Phone
    +4401686626616

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 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

    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.

  • Insurance Admin

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

  • Credit Brokering

    Show 1 limitation
    • · Credit broking limited to agreements related to insurance premius and connected insurance administration fees

  • Stockbroking

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

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • 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.

  • Alun Wyn Hughes

    IRN AWH00001

    • 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)
    • Responsible for Insurance Distribution (since 19 Dec 2024)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF1 Director (AR) (10 Jun 2014 to 4 Jan 2017)
    • CF11 Money Laundering Reporting (8 Oct 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (2 Jun 2005 to 31 Mar 2009)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Brian Eric Morris

    IRN BEM00005

    • CF1 Director (1 Dec 2001 to 28 Mar 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2006)
  • Christopher John Tombleson

    IRN CJT00017

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2026)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2026)
    • CF30 Customer (16 May 2011 to 8 Dec 2019)
  • Christopher Martin Sanna

    IRN CXS01101

    • 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
    • [FCA CF] Functions requiring qualifications (since 6 Jan 2026)
    • [FCA CF] Client dealing (since 6 Jan 2026)
  • Daniel Rowland Parry

    IRN DRP00030

    • CF21 Investment Adviser (3 Aug 2004 to 4 Jan 2005)
    • CF22 Investment Adviser (Trainee) (1 Aug 2003 to 3 Aug 2004)
  • Donna-Marie Jenkins

    IRN DXT00081

    • CF11 Money Laundering Reporting (1 Dec 2001 to 7 Oct 2009)
  • James Joseph Lee

    IRN JJL00003

    • CF30 Customer (1 Nov 2007 to 30 Dec 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • John Howard Roberts

    IRN JHR00009

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 11 Jun 2003)
  • Keith Harold Evans

    IRN KHE01005

    • CF1 Director (AR) (4 Jun 2009 to 4 Jan 2017)
  • Malcolm Brown

    IRN MXB01691

    • CF13 Finance (1 Dec 2001 to 31 Oct 2002)
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.