Sovereign (Financial Services) Limited

• Principal Place of Business

  Sovereign House

  28-30 High Street

  Sevenoaks

  Kent

  TN13 1HX

  UNITED KINGDOM

  Phone

  +4401732902200

  Web

  https://www.sovfs.co.uk

• Complaints Contact

  Sovereign House

  28-30 High Street

  Sevenoaks

  Kent

  TN13 1HX

  UNITED KINGDOM

  Phone

  +441732902200

• Buy-to-Let Mortgage Advice

• 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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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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

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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.

• 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, 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

• Credit Brokering

• Debt Advice

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

• 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, 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.

• Bernard Alec Dokelman

  IRN BAD00001

  • CF10 Compliance Oversight (1 Apr 2008 to 16 Sep 2015)
  • CF11 Money Laundering Reporting (1 Apr 2008 to 16 Sep 2015)
  • CF30 Customer (1 Apr 2008 to 31 Dec 2017)
  • CF8 Apportionment and Oversight (1 Apr 2008 to 31 Mar 2009)
  • CF1 Director (1 Apr 2008 to 16 Sep 2015)
• Gary Thomas Mitchell

  IRN GTM00001

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 11 Oct 2016)
  • CF1 Director (1 Apr 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Apr 2008 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Apr 2008 to 8 Dec 2019)
  • CF30 Customer (1 Apr 2008 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Apr 2008 to 31 Mar 2009)
  • Responsible for Insurance Mediation (1 Apr 2008 to 30 Sep 2018)
• James Edward Mitchell

  IRN JEM01138

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • CF30 Customer (31 May 2019 to 8 Dec 2019)
• Joanna Claire Baker

  IRN JCB00045

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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] Functions requiring qualifications (since 1 Jan 2021)
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • CF30 Customer (1 Apr 2008 to 1 Jan 2013)
• Lee Nicholas Clarke

  IRN LNC00001

  • CF30 Customer (1 Apr 2008 to 1 Jul 2010)

No changes recorded yet.