Research Independent Financial Services Limited

• Principal Place of Business

  Ellerbeck House

  71 Woodland Road

  Darlington

  County Durham

  DL3 7BQ

  UNITED KINGDOM

  Phone

  +4401325369999

  Web

  https://www.researchindependent.co.uk

• Complaints Contact

  71 Woodland Road

  Darlington

  County Durham

  DL3 7BQ

  UNITED KINGDOM

  Phone

  +4401325369999

• 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: 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 (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

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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.

• Stockbroking

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

• 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

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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.

• Anne Olley

  IRN AXO01146

  • CF22 Investment Adviser (Trainee) (2 Jan 2003 to 21 Apr 2003)
• Brian Adam Smith

  IRN BXS00554

  • 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 14 Feb 2025)
  • [FCA CF] Client dealing (since 14 Feb 2025)
• Kevan John Oliphant

  IRN KJO00013

  • 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
  • SMF3 Executive Director (since 13 Mar 2025)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Peter Gordon Page

  IRN PGP00002

  • 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)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF3 Chief Executive (29 Aug 2003 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (29 Aug 2003 to 31 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Richard Keith James

  IRN RKJ00001

  • CF1 Director (AR) (6 Apr 2003 to 29 Aug 2003)
  • CF1 Director (1 Dec 2001 to 29 Aug 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 29 Aug 2003)
  • CF3 Chief Executive (1 Dec 2001 to 29 Aug 2003)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 29 Aug 2003)
• Robert John Stabler

  IRN RJS00144

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Feb 2002)
• Roland Edward Lang

  IRN REL00003

  • CF1 Director (1 Dec 2001 to 29 Aug 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 29 Aug 2003)
• Trudie Jayne Porter

  IRN TJS00038

  • CF21 Investment Adviser (1 Dec 2001 to 16 May 2006)

• Wealthclub (UK) Limited (no longer appointed)

  FRN 221546 · Appointed 23 Dec 2002 · Until 19 Aug 2003

No changes recorded yet.