SN FINANCIAL SERVICES LIMITED

• Principal Place of Business

  5 Saltway

  Droitwich

  Worcestershire

  WR9 8LB

  UNITED KINGDOM

  Phone

  +4401905779697

  Web

  https://www.snfinancial.co.uk

• Complaints Contact

  5 Saltway

  Droitwich

  Worcestershire

  Worcs

  WR9 8LB

  UNITED KINGDOM

  Phone

  +4401905779697

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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 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

  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, 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding the administration of debt management plans In this limitation debt management plans are defined as: "a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders."

• 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 (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Astra Margarita Birch

  IRN AXW00224

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Brian David Joseph Walker

  IRN BDW01039

  • 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 17 Mar 2025)
  • [FCA CF] Functions requiring qualifications (since 17 Mar 2025)
• Charlie James Nicholls

  IRN CXN00053

  • [FCA CF] Functions requiring qualifications (4 Jan 2021 to 17 May 2024)
  • [FCA CF] Client dealing (4 Jan 2021 to 17 May 2024)
• Elizabeth Jane Newman

  IRN EJN01011

  • CF30 Customer (19 Jan 2011 to 9 May 2019)
• Gemma Sarah Brown

  IRN GXB00163

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Mar 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 6 Mar 2024)
• Jack Jones

  IRN JXJ19637

  • 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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (6 Sep 2019 to 8 Dec 2019)
• Justin Neale

  IRN JXN15151

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (29 Nov 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (29 Nov 2019 to 8 Dec 2019)
  • CF1 Director (6 Aug 2019 to 8 Dec 2019)
• Lelan Spence

  IRN LXS00306

  • [FCA CF] Client dealing (13 Aug 2021 to 27 Sep 2024)
  • [FCA CF] Functions requiring qualifications (13 Aug 2021 to 27 Sep 2024)
• Marnie Burke

  IRN MXB00527

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 3 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 3 Sep 2024)
• Samantha Ann Neale

  IRN SAN01038

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 4 Nov 2022)
  • CF1 Director (15 Mar 2004 to 8 Dec 2019)

No changes recorded yet.