Strathayr Financial Services LLP

• Principal Place of Business

  18 Miller Road

  Ayr

  Ayrshire

  KA7 2AY

  UNITED KINGDOM

  Phone

  +4401292266430

  Web

  https://www.strathayr.co.uk

• Complaints Contact

  18 Miller Road

  Ayr

  Ayrshire

  KA7 2AY

  UNITED KINGDOM

  Phone

  +4401292266430

• 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 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 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 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 Arranging

  For Customer, Regulated mortgage contract

• 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 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.

• Alan Hugh Long

  IRN AHL00003

  • 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)
  • SMF27 Partner (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)
  • CF11 Money Laundering Reporting (19 Aug 2015 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (2 Aug 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (2 Aug 2004 to 31 Mar 2009)
  • CF21 Investment Adviser (2 Aug 2004 to 31 Oct 2007)
• Alan William Holmes

  IRN AWH00022

  • CF30 Customer (1 Nov 2007 to 28 Dec 2012)
  • CF11 Money Laundering Reporting (2 Aug 2004 to 24 Jun 2015)
  • CF21 Investment Adviser (2 Aug 2004 to 31 Oct 2007)
  • CF4 Partner (2 Aug 2004 to 24 Jun 2015)
• Andrew Dickie Holland

  IRN ADH00032

  • 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)
  • SMF27 Partner (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)
  • Responsible for Insurance Mediation (14 Jan 2005 to 24 Jun 2015)
  • CF10 Compliance Oversight (2 Aug 2004 to 24 Jun 2015)
  • CF21 Investment Adviser (2 Aug 2004 to 31 Oct 2007)
  • CF4 Partner (2 Aug 2004 to 8 Dec 2019)
• Anthony Stuart Simpson Smith

  IRN ASS00015

  • 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)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (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)
  • CF10 Compliance Oversight (12 Aug 2015 to 8 Dec 2019)
  • Responsible for Insurance Mediation (30 Jun 2015 to 30 Sep 2018)
  • CF30 Customer (27 Jun 2012 to 8 Dec 2019)
  • CF4 Partner (27 Jun 2012 to 8 Dec 2019)
• David Finlayson Ross

  IRN DFR00008

  • SMF27 Partner (9 Dec 2019 to 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Aug 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 19 Aug 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (2 Aug 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (2 Aug 2004 to 31 Oct 2007)
• Jordan McCulloch

  IRN JXM01236

  • 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
  • [FCA CF] Client dealing (since 28 Oct 2022)
  • [FCA CF] Functions requiring qualifications (since 28 Oct 2022)
• Kevin Robert Owens

  IRN KXO09149

  • [FCA CF] Functions requiring qualifications (6 Jan 2020 to 31 May 2022)
  • [FCA CF] Client dealing (6 Jan 2020 to 31 May 2022)
  • CF30 Customer (1 Jan 2019 to 8 Dec 2019)

No changes recorded yet.