Sterling Financial Services Limited

• Principal Place of Business

  24 Regent Street

  Nottingham

  Nottinghamshire

  NG1 5BQ

  UNITED KINGDOM

  Phone

  +4403454080707

  Web

  https://www.sterlingfs.co.uk

• Complaints Contact

  24 Regent Street

  Nottingham

  Nottinghamshire

  NG1 5BQ

  UNITED KINGDOM

  Phone

  +4401159584115

• P2P Lending Advice

  For Retail (Investment)

• 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 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, 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.

• 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, 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.

• 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, 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.

• Andrew John Kay

  IRN AJK01117

  • CF1 Director (9 Dec 2004 to 10 Apr 2008)
• David Goodman

  IRN DXG01431

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (1 Aug 2005 to 31 Oct 2007)
• David Richard Griffiths

  IRN DRG00044

  • CF1 Director (9 Dec 2004 to 10 Apr 2008)
• Gary Andrew Watson

  IRN GXW00073

  • CF30 Customer (1 Nov 2007 to 1 Dec 2012)
  • CF21 Investment Adviser (9 Dec 2004 to 31 Oct 2007)
• Gerard Patrick Burrows

  IRN GPB00004

  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (9 Dec 2004 to 8 Dec 2019)
  • CF1 Director (9 Dec 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (9 Dec 2004 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (9 Dec 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (9 Dec 2004 to 31 Oct 2007)
• Ian Peter MacArthur

  IRN IPM00010

  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (9 Dec 2004 to 31 Oct 2007)
  • CF1 Director (9 Dec 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 Dec 2004 to 8 Dec 2019)
• Joseph Harvey Goodman

  IRN JHG00009

  • CF30 Customer (1 Nov 2007 to 31 Mar 2019)
  • CF21 Investment Adviser (2 Aug 2005 to 31 Oct 2007)
• Keeley Sutton

  IRN KXH01222

  • CF21 Investment Adviser (9 Dec 2004 to 2 Feb 2005)
• Michael Kenneth Dewick

  IRN MKD00010

  • CF30 Customer (1 Nov 2007 to 5 Nov 2013)
  • CF21 Investment Adviser (9 Dec 2004 to 31 Oct 2007)
• Stephen Derek Green

  IRN SDG00007

  • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
  • CF22 Investment Adviser (Trainee) (1 Jun 2007 to 31 Oct 2007)

No changes recorded yet.