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

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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.

• 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Credit Brokering

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

• Debt Advice

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  • · 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

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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.

• Simon William Joseph Moran

  IRN SWM01051

  • CF30 Customer (1 Nov 2007 to 5 Oct 2009)
  • CF24 Pension Transfer Specialist (15 Mar 2006 to 31 Oct 2007)
• Stephen Anthony Clark

  IRN SAC01170

  • CF1 Director (17 Nov 2004 to 20 Jul 2009)
• Steven John Vallery

  IRN SXV00020

  • 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
  • 9A. Advising on P2P agreements
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (12 Apr 2016 to 30 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (23 Aug 2004 to 31 Oct 2007)
  • CF1 Director (23 Aug 2004 to 8 Dec 2019)
• Stuart Campbell Hunter

  IRN SCH00060

  • CF21 Investment Adviser (31 Jan 2006 to 20 Feb 2006)
  • CF24 Pension Transfer Specialist (2 Nov 2004 to 20 Feb 2006)
  • CF22 Investment Adviser (Trainee) (2 Nov 2004 to 31 Jan 2006)
• Timothy James McKechnie

  IRN TJM00056

  • 9A. Advising on P2P agreements
  • 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 19 Dec 2019)
  • [FCA CF] Client dealing (since 19 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (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)
  • CF1 Director (23 Aug 2004 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (23 Aug 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (23 Aug 2004 to 31 Oct 2007)
  • CF10 Compliance Oversight (23 Aug 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (23 Aug 2004 to 1 Nov 2007)

No changes recorded yet.