Saxon Financial Advice Limited

Date authorised
1 April 2013
Companies House
04263642
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Saxon Financial Advice Ltd
    West Wing
    Prospect Business Park
    Crookhall Lane
    Consett
    County Durham
    DH8 7PW
    UNITED KINGDOM
    Phone
    +441434606853
    Web
    https://www.saxonfinancialadvice.co.uk

  • Complaints Contact

    Saxon Financial Advice Ltd
    West Wing
    Prospect Business Park
    Crookhall Lane
    Consett
    County Durham
    DH8 7PW
    UNITED KINGDOM
    Phone
    +441434606853

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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 2 limitations
    • · 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

    Show 1 limitation
    • · 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

    For Professional, Retail (Investment)

    Show 1 limitation
    • · 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
    • · 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

  • 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Beverley Henderson

    IRN BXH00105

    • CF30 Customer (1 Nov 2007 to 28 Oct 2019)
    • CF24 Pension Transfer Specialist (8 Jul 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (15 Jan 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (21 Jan 2003 to 15 Jan 2004)
  • Claire Louise Foster

    IRN CLF00001

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Client dealing (since 19 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 19 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (19 Sep 2016 to 10 Jan 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (1 May 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 May 2004 to 8 Dec 2019)
    • CF13 Finance (1 May 2004 to 15 Feb 2007)
    • CF3 Chief Executive (1 May 2004 to 23 Nov 2009)
    • CF8 Apportionment and Oversight (1 May 2004 to 31 Mar 2009)
    • CF21 Investment Adviser (18 Jun 2002 to 31 Oct 2007)
    • CF1 Director (18 Jun 2002 to 8 Dec 2019)
  • Hazel Patricia Saxon

    IRN HPS00001

    • CF1 Director (18 Jun 2002 to 30 Apr 2004)
  • Janet Kelly

    IRN JXT01559

    • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 16 May 2021)
    • [FCA CF] Client dealing (19 Dec 2019 to 16 May 2021)
    • CF30 Customer (15 Dec 2008 to 8 Dec 2019)
  • John MacKinnell Wilson

    IRN JMW00030

    • CF21 Investment Adviser (8 Apr 2004 to 9 Apr 2004)
    • CF22 Investment Adviser (Trainee) (12 Nov 2002 to 9 Apr 2004)
  • John Michael Saxon

    IRN JMS00001

    • CF8 Apportionment and Oversight (18 Jun 2002 to 30 Apr 2004)
    • CF1 Director (18 Jun 2002 to 30 Apr 2004)
    • CF10 Compliance Oversight (18 Jun 2002 to 30 Apr 2004)
    • CF11 Money Laundering Reporting (18 Jun 2002 to 30 Apr 2004)
    • CF21 Investment Adviser (18 Jun 2002 to 30 Apr 2004)
    • CF24 Pension Transfer Specialist (18 Jun 2002 to 30 Apr 2004)
    • CF3 Chief Executive (18 Jun 2002 to 30 Apr 2004)
  • Michele Ridley

    IRN MES00029

    • [FCA CF] Client dealing (19 Dec 2019 to 16 Sep 2021)
    • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 16 Sep 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (19 Mar 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (18 Jun 2002 to 19 Mar 2004)
  • Robin Derek Ord

    IRN RDO01009

    • CF22 Investment Adviser (Trainee) (18 Jun 2002 to 15 Mar 2003)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.