Richardsons Financial Services Limited

• Principal Place of Business

  30 Upper High Street

  Thame

  OX9 3EZ

  UNITED KINGDOM

  Phone

  +441844261283

  Web

  https://www.richardsons-fs.co.uk

• Complaints Contact

  30 Upper High Street

  Thame

  OX9 3EZ

  UNITED KINGDOM

  Phone

  +441844261283

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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

• 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.

• 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

• Credit Brokering

• 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.

• Andrew Richard King

  IRN ARK00006

  • SMF3 Executive Director (9 Dec 2019 to 20 Sep 2023)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Anthony John Hastings

  IRN AJH01357

  • Responsibility for MCD Intermediation (21 Mar 2016 to 30 Sep 2016)
  • CF30 Customer (1 Nov 2007 to 30 Sep 2016)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2016)
  • CF10 Compliance Oversight (12 Feb 2004 to 30 Sep 2016)
  • CF1 Director (12 Feb 2004 to 30 Sep 2016)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Anthony Pearce

  IRN AXP01422

  • CF21 Investment Adviser (1 Dec 2001 to 12 Mar 2003)
• Anthony Robert Dawson

  IRN ARD00014

  • CF11 Money Laundering Reporting (1 Dec 2001 to 31 Dec 2003)
  • CF10 Compliance Oversight (1 Dec 2001 to 31 Dec 2003)
  • CF1 Director (1 Dec 2001 to 31 Dec 2003)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Dec 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
• Bernard Alexander Hawkes

  IRN BAH00030

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • 17. Administrative functions in relation to managing investments
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [PRA CF] Key function holder (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 14 Oct 2016)
  • Responsible for Insurance Mediation (2 Nov 2016 to 30 Sep 2018)
  • CF10 Compliance Oversight (14 Oct 2016 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (25 Feb 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (25 Feb 2004 to 31 Mar 2009)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Colin James Morton

  IRN CJM01460

  • 17. Administrative functions in relation to managing investments
  • 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
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Jul 2016 to 8 Dec 2019)
• Deborah Grinyer

  IRN DXG01368

  • CF30 Customer (1 Nov 2007 to 28 Nov 2016)
  • CF21 Investment Adviser (25 May 2004 to 31 Oct 2007)
• Ian Simon Husband

  IRN ISH00003

  • SMF3 Executive Director (9 Dec 2019 to 20 Sep 2023)
  • CF1 Director (15 Jul 2008 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 19 Dec 2006)
• James Gerard Brady

  IRN JGB00035

  • CF30 Customer (1 Nov 2007 to 1 Nov 2007)
  • CF21 Investment Adviser (6 Feb 2004 to 31 Oct 2007)
• Rhys Upton

  IRN RXU00002

  • 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
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Client dealing (since 1 Jul 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2020)

No changes recorded yet.