S4 FINANCIAL LIMITED

• Principal Place of Business

  Unit A

  Causeway Farm

  Cricket Green

  Hartley Wintney

  Hook

  Hampshire

  RG27 8PS

  UNITED KINGDOM

  Phone

  +440127634932

  Web

  https://www.s4financial.co.uk

• Complaints Contact

  Unit A

  Causeway Farm

  Cricket Green

  Hartley Wintney

  Hook

  Hampshire

  RG27 8PS

  UNITED KINGDOM

  Phone

  +440127634932

• 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

  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.

• 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.

• 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Credit Brokering

  Show 1 limitation Hide limitations

  • · Limited to not brokering credit for the purpose of increasing the funds available for investment.

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• 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.

• Barry John Stanton

  IRN BJS00022

  • CF21 Investment Adviser (13 Dec 2006 to 31 May 2007)
  • CF22 Investment Adviser (Trainee) (5 Jan 2006 to 13 Dec 2006)
• David Joseph Smith

  IRN DXS01484

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (14 May 2007 to 31 Oct 2007)
• Garry Veale

  IRN CXV01067

  • CF2 Non Executive Director (23 Sep 2004 to 10 Nov 2005)
• Helen Ruth Craft

  IRN HRC01015

  • CF30 Customer (1 Oct 2012 to 1 Sep 2016)
• John Dean

  IRN JXD08780

  • 9A. Advising on P2P agreements
  • 11. Pension transfer specialist
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 1 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2021)
• Karen Lesley McGrath

  IRN KXL01184

  • CF30 Customer (1 Oct 2012 to 1 Sep 2016)
• Martin Paul Littlecott

  IRN MPL00003

  • CF30 Customer (1 Nov 2007 to 1 Aug 2012)
  • CF21 Investment Adviser (3 Aug 2007 to 31 Oct 2007)
• Mary McDonnell

  IRN MXM04229

  • 9A. Advising on P2P agreements
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
  • [FCA CF] Client dealing (since 19 Dec 2019)
  • CF30 Customer (6 Jun 2017 to 8 Dec 2019)
• Nicholas Charles Cole

  IRN NCC01030

  • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 31 Jan 2025)
  • [FCA CF] Client dealing (19 Dec 2019 to 31 Jan 2025)
  • CF30 Customer (23 Feb 2009 to 8 Dec 2019)
• Ronald Sharp Elder

  IRN RSE01015

  • CF2 Non Executive Director (19 May 2006 to 8 Dec 2019)

No changes recorded yet.