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

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  • · 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

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  • · 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.

• Stuart Ian Neale

  IRN SIN00001

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (15 Mar 2004 to 8 Dec 2019)
  • CF3 Chief Executive (15 Mar 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (15 Mar 2004 to 31 Mar 2009)
  • CF10 Compliance Oversight (15 Mar 2004 to 8 Dec 2019)
  • CF1 Director (15 Mar 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (15 Mar 2004 to 31 Oct 2007)
• Yiannis Konstantinos Hanson-Ikonomou

  IRN YXH00033

  • [FCA CF] Client dealing (1 Sep 2021 to 18 Jul 2022)
  • [FCA CF] Functions requiring qualifications (1 Sep 2021 to 18 Jul 2022)
• Zoe Mae Blount

  IRN ZXL00033

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2022)
  • [FCA CF] Client dealing (since 1 Dec 2022)

No changes recorded yet.