Spectrum Independent Financial Services

• Principal Place of Business

  B1 Business Centre

  25 Goodlass Road

  Speke

  Liverpool

  Merseyside

  L24 9HJ

  UNITED KINGDOM

  Phone

  +4401514482777

  Web

  https://www.spectrum-ifs.co.uk

• Complaints Contact

  B1 Business Centre

  25 Goodlass Road

  Speke

  Liverpool

  Merseyside

  L24 9HJ

  UNITED KINGDOM

  Phone

  +441514482777

• 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 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 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

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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, 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

• Credit Brokering

• Stockbroking

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

• 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.

• Alan Blakemore

  IRN AXB00130

  • CF30 Customer (1 Nov 2007 to 7 Apr 2009)
  • CF22 Investment Adviser (Trainee) (15 Sep 2006 to 31 Oct 2007)
• David Robert Tagg

  IRN DRT00006

  • CF30 Customer (1 Nov 2007 to 7 Apr 2009)
  • CF22 Investment Adviser (Trainee) (5 Dec 2005 to 31 Oct 2007)
• Donald Thomas Hackworth

  IRN DTH00015

  • CF22 Investment Adviser (Trainee) (12 Jul 2004 to 15 Oct 2004)
• Ronald Francis White

  IRN RFW00011

  • CF30 Customer (1 Nov 2007 to 13 May 2008)
  • CF22 Investment Adviser (Trainee) (5 Dec 2005 to 31 Oct 2007)
• Wayne Joseph Slater

  IRN WXS00003

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (9 Jul 2013 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (20 Feb 2004 to 31 Oct 2007)
  • CF10 Compliance Oversight (20 Feb 2004 to 8 Dec 2019)

No changes recorded yet.