SMITH & PINCHING FINANCIAL SERVICES LIMITED

• Principal Place of Business

  295 Aylsham Road

  Norwich

  Norfolk

  NR3 2RY

  UNITED KINGDOM

  Phone

  +441603789966

  Web

  https://www.smith-pinching.co.uk

• Complaints Contact

  295 Aylsham Road

  Norwich

  Norfolk

  NR3 2RY

  UNITED KINGDOM

  Phone

  +441603789966

  Web

  https://www.smith-pinching.co.uk

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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

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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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

  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, Spread Bet, Structured Deposits, 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.

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Structured Deposits, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Structured Deposits, 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.

• Credit Score Services

  Show 1 limitation Hide limitations

  • · This permission is limited to not carrying out credit repair services

• Hazel Bowen

  IRN HSA01030

  • [FCA CF] Client dealing (9 Dec 2019 to 16 Mar 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Mar 2021)
  • CF30 Customer (17 Dec 2015 to 8 Dec 2019)
• Ian Douglas MacGregor

  IRN IDM00006

  • CF30 Customer (1 Nov 2007 to 22 Nov 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 31 Mar 2009)
• Jacqueline Suzanne Mills

  IRN JXM02253

  • SMF3 Executive Director (since 11 Mar 2024)
• James Michael Greenly

  IRN JMG01257

  • CF30 Customer (1 Aug 2013 to 9 May 2014)
• James Ryan Bulman

  IRN JRB01342

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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)
  • SMF3 Executive Director (since 11 Mar 2024)
  • Responsible for Insurance Distribution (since 11 Mar 2024)
  • Responsibility for MCD Intermediation (since 11 Mar 2024)
  • CF1 Director (AR) (since 24 Oct 2022)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (since 3 Mar 2014)
• Janina Kay Dingwall

  IRN JKD00007

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Jeffrey Wilson

  IRN JXW00293

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (27 Jun 2019 to 8 Dec 2019)
• Jeremy Edward Woodruff

  IRN JEW00010

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (27 Dec 2018 to 8 Dec 2019)
  • CF30 Customer (11 Jul 2018 to 8 Dec 2019)
• Jeremy Peter Ware

  IRN JPW00046

  • SMF3 Executive Director (since 11 Mar 2024)
  • SMF16 Compliance Oversight (since 18 Apr 2023)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• John William Simpson

  IRN JWS00028

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2021)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Jun 2021)
  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2021)
  • CF30 Customer (1 Nov 2007 to 30 Jun 2021)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)

• Anthony Pearson (no longer appointed)

  FRN 563373 · Appointed 30 Aug 2011 · Until 19 Dec 2014

• George Durrant & Sons Limited (no longer appointed)

  FRN 422416 · Appointed 14 Jul 2011 · Until 3 Feb 2017

• Spalding & Co Ltd (no longer appointed)

  FRN 556096 · Appointed 14 Jul 2011 · Until 12 Feb 2016

• John Kenworthy (no longer appointed)

  FRN 554400 · Appointed 27 Jun 2011 · Until 30 Jun 2020

• Stacey & Partners (no longer appointed)

  FRN 552248 · Appointed 27 May 2011 · Until 5 Feb 2014

• Lester & Co (no longer appointed)

  FRN 460035 · Appointed 12 Oct 2010 · Until 30 Jun 2020

• Michael Hill Partnership (no longer appointed)

  FRN 467609 · Appointed 8 Oct 2010 · Until 12 Feb 2016

• RJL IFA Ltd (no longer appointed)

  FRN 499563 · Appointed 17 Apr 2009 · Until 25 Nov 2022

No changes recorded yet.