Simple Financial Advice Limited

Date authorised
1 April 2013
Companies House
05893692
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

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

  • 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
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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.

  • John Robert Wilkinson

    IRN JRW00011

    • 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)
    • [FCA CF] Client dealing (since 9 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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 24 Oct 2016)
    • CF1 Director (AR) (1 Aug 2007 to 1 Nov 2008)
    • Responsible for Insurance Mediation (1 Nov 2006 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 Nov 2006 to 4 Nov 2008)
    • CF21 Investment Adviser (1 Nov 2006 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Nov 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2006 to 8 Dec 2019)
    • CF1 Director (1 Nov 2006 to 8 Dec 2019)
  • Mohammed Kutub Uddin

    IRN MKU01003

    • CF30 Customer (1 Mar 2016 to 15 Jun 2016)
  • Nicholas John Green

    IRN NJG00026

    • CF30 Customer (31 Mar 2014 to 11 Oct 2018)
  • Steven Christopher Davis

    IRN SCD01097

    • [FCA CF] Client dealing (27 Jul 2021 to 13 May 2024)
    • [FCA CF] Functions requiring qualifications (27 Jul 2021 to 13 Mar 2024)
  • Stuart David Maddocks

    IRN SDM01120

    • CF30 Customer (1 Nov 2007 to 1 Nov 2008)
    • CF22 Investment Adviser (Trainee) (23 Jul 2007 to 31 Oct 2007)
  • Timothy Haynes

    IRN TXH01407

    • CF30 Customer (9 Aug 2013 to 13 Mar 2015)
  • Tracey Clare Conway

    IRN TCC00008

    • CF30 Customer (20 Apr 2009 to 9 Mar 2010)
  • Victoria Roberts

    IRN VXR01239

    • SMF3 Executive Director (9 Dec 2019 to 2 Nov 2022)
    • CF1 Director (22 Mar 2017 to 8 Dec 2019)
  • William Peter Harrison Ingall

    IRN WPI00001

    • CF30 Customer (18 Nov 2008 to 12 Nov 2009)
    • CF1 Director (AR) (18 Nov 2008 to 7 Jan 2010)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.