Shorestone Financial LLP

• Principal Place of Business

  2 The Quarry

  Betchworth

  Surrey

  RH3 7BY

  UNITED KINGDOM

  Phone

  +441737844520

  Web

  https://www.shorestone.co.uk

• Complaints Contact

  2 The Quarry

  Betchworth

  Surrey

  RH3 7BY

  UNITED KINGDOM

  Phone

  +441737844520

• 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 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 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.

• Credit Brokering

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  • · The firm may not broker 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
  • · This permission is limited to debt counselling which is provided in connection with investment advice

• Investment Setup

  For 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.

• Elizabeth Ann Gallizzi

  IRN EXG00016

  • 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
  • SMF27 Partner (since 15 Jul 2021)
  • SMF16 Compliance Oversight (since 5 Feb 2021)
  • Responsible for Insurance Distribution (since 5 Feb 2021)
  • [FCA CF] Client dealing (since 25 Jun 2020)
  • [FCA CF] Functions requiring qualifications (since 25 Jun 2020)
• Linda Simmons

  IRN LJB00013

  • SMF16 Compliance Oversight (9 Dec 2019 to 9 Nov 2020)
  • SMF27 Partner (9 Dec 2019 to 9 Nov 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 9 Nov 2020)
  • CF8 Apportionment and Oversight (5 Jan 2009 to 31 Mar 2009)
  • CF4 Partner (5 Jan 2009 to 8 Dec 2019)
  • CF30 Customer (5 Jan 2009 to 8 Dec 2019)
  • Responsible for Insurance Mediation (5 Jan 2009 to 30 Sep 2018)
  • CF10 Compliance Oversight (5 Jan 2009 to 8 Dec 2019)
• Simon Leonard Evans

  IRN SLE00001

  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 8 Jul 2021)
  • CF11 Money Laundering Reporting (5 Jan 2009 to 8 Dec 2019)
  • CF30 Customer (5 Jan 2009 to 8 Dec 2019)
  • CF4 Partner (5 Jan 2009 to 8 Dec 2019)

No changes recorded yet.