Rees Astley Independent Financial Advisers Limited

• 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

• 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

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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

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  • · 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

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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.

• Insurance Admin

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

• Credit Brokering

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  • · 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

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  • · 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 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.

• Michael Tira Gardner

  IRN MTG01029

  • SMF3 Executive Director (9 Dec 2019 to 29 Oct 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 29 Oct 2024)
  • CF1 Director (AR) (16 Jun 2014 to 4 Jan 2017)
  • Responsible for Insurance Mediation (1 Jun 2005 to 30 Sep 2018)
  • CF1 Director (6 Nov 2002 to 8 Dec 2019)
• Natasha Arthurs

  IRN NXA00057

  • 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)
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2020)
  • [FCA CF] Client dealing (since 1 Nov 2020)
• Peter Wyn Morgan

  IRN PWM00007

  • CF30 Customer (1 Nov 2007 to 29 Dec 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Russell Edward Beesley

  IRN REB00013

  • CF30 Customer (1 Nov 2007 to 28 Apr 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Stephen Gary Sadler

  IRN SGS01074

  • SMF3 Executive Director (9 Dec 2019 to 29 Oct 2024)
  • CF28 Systems and controls (7 Oct 2019 to 8 Dec 2019)
  • CF1 Director (AR) (4 Jun 2014 to 4 Jan 2017)
  • CF1 Director (23 Jan 2006 to 8 Dec 2019)
• Stephen Mark O'Donnell

  IRN SMO00006

  • Responsible for Insurance Mediation (14 Jan 2005 to 1 Jun 2005)
  • CF1 Director (1 Dec 2001 to 1 Jun 2005)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Jun 2005)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Jun 2005)
• Stephen Mark Owen

  IRN SMO00008

  • [FCA CF] Client dealing (9 Dec 2019 to 30 May 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 May 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Jun 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (3 Feb 2003 to 3 Jun 2004)
• Vanessa Ruth Evans

  IRN VRE01004

  • CF28 Systems and controls (5 Feb 2009 to 24 Jan 2012)
  • CF13 Finance (6 Nov 2002 to 31 Oct 2007)

• Clifford Challinor Ltd (no longer appointed)

  FRN 486769 · Appointed 28 Jul 2008 · Until 13 Mar 2017

• Rees Astley Insurance Brokers Ltd (no longer appointed)

  FRN 480884 · Appointed 31 Mar 2008 · Until 13 Mar 2017

No changes recorded yet.