Sterling Financial Services

• Principal Place of Business

  Sterling Financial Services

  5 Church Road

  Burgess Hill

  West Sussex

  RH15 9BB

  UNITED KINGDOM

  Phone

  +4401444871661

  Web

  https://www.sterlingfs.org

• Complaints Contact

  Sterling Financial Services

  5 Church Road

  Burgess Hill

  West Sussex

  RH15 9BB

  UNITED KINGDOM

  Phone

  +4401444871661

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, 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: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• Investment Advice (no pensions)

  For Commercial, 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, 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

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Negotiation

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

• 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, 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.

• Aaron Nathaniel Dix

  IRN AXD00475

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
• Darren John Dix

  IRN DJD00042

  • 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
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (4 Jan 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (4 Jan 2005 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 Jan 2005 to 8 Dec 2019)
• Guy Alan Edward Cremer

  IRN GAC01116

  • [FCA CF] Client dealing (9 Dec 2019 to 12 Sep 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Sep 2025)
  • CF30 Customer (7 Sep 2009 to 8 Dec 2019)
• Mark Gillard

  IRN MAG01192

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 18 Feb 2022)
  • [FCA CF] Functions requiring qualifications (since 18 Feb 2022)
• Mark Paul Reed

  IRN MPR00010

  • CF30 Customer (17 Oct 2011 to 27 Jun 2016)
• Martin Kelly

  IRN MXK00076

  • CF30 Customer (23 Oct 2009 to 7 Oct 2013)
• Mary Kirsty Hendrie-Burse

  IRN MXH01164

  • [FCA CF] Functions requiring qualifications (27 Feb 2024 to 30 Aug 2024)
• Paul Dowzer

  IRN PED00010

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (17 Jan 2011 to 7 Jan 2013)
• Philip Andrew Thomas Johnson

  IRN PXJ00144

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Apr 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Apr 2023)

No changes recorded yet.