Simple Financial Advice Limited

• Principal Place of Business

  3 Chapel Street

  Congleton

  Cheshire

  CW12 4AB

  UNITED KINGDOM

  Phone

  +4408004346337

  Web

  https://www.simplefinancialadvice.co.uk

• Complaints Contact

  3 Chapel Street

  Congleton

  Cheshire

  CW12 4AB

  UNITED KINGDOM

  Phone

  +4408004346337

• 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

  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, 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, 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.

• 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, 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.

• Abby Lauren Baker

  IRN ALB01115

  • CF30 Customer (13 Jul 2009 to 12 Nov 2009)
• Andrew John Dugdale

  IRN AJD00056

  • CF30 Customer (30 Jun 2009 to 30 Sep 2009)
• Anne-Marie Naylor

  IRN AXB00305

  • CF1 Director (AR) (4 Jan 2008 to 10 Apr 2015)
• David Alexander John Taylor

  IRN DAT01107

  • CF1 Director (AR) (9 Jan 2008 to 8 Mar 2017)
• David Mark Thewlis

  IRN DMT01121

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (13 Dec 2017 to 8 Dec 2019)
• David Stanley Mawson

  IRN DSM00008

  • CF30 Customer (1 Nov 2007 to 21 Dec 2012)
  • CF24 Pension Transfer Specialist (7 Aug 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Mar 2007 to 31 Oct 2007)
• Fiona Mary Louise Collinson

  IRN FMC00002

  • CF30 Customer (4 Jan 2011 to 13 Mar 2015)
• Ian Stuart Griffiths

  IRN ISG00008

  • CF30 Customer (3 Jan 2008 to 14 Nov 2016)
• James Adam Ellithorn

  IRN JAE01070

  • CF30 Customer (1 Nov 2011 to 14 Nov 2016)
• James William Hogg

  IRN JWH01163

  • CF30 Customer (8 Feb 2017 to 31 Jan 2018)

• Simple Financial Advice limited (no longer appointed)

  FRN 677890 · Appointed 19 Mar 2015 · Until 13 Apr 2017

• Clean Financial Planning Limited (no longer appointed)

  FRN 593403 · Appointed 24 Dec 2012 · Until 19 Mar 2014

• Temple Heelis Financial Services Ltd (no longer appointed)

  FRN 491662 · Appointed 19 Nov 2008 · Until 1 Jun 2015

• Harts Wealth Management Ltd (no longer appointed)

  FRN 450472 · Appointed 25 Dec 2007 · Until 12 Sep 2016

• Sedulus Financial Planning Ltd (no longer appointed)

  FRN 470630 · Appointed 19 Jul 2007 · Until 1 Nov 2008

No changes recorded yet.