SYMPHONY FINANCIAL ADVISERS LTD

• Principal Place of Business

  Symphony Financial Advisors Ltd, Unit H6

  Premier Way

  Lowfields Business Park

  Elland

  West Yorkshire

  HX5 9HF

  UNITED KINGDOM

  Phone

  +4401484722294

  Web

  https://www.symphony.uk.net

• Complaints Contact

  Symphony Financial Advisors Ltd, Unit H6

  Premier Way

  Lowfields Business Park

  Elland

  West Yorkshire

  HX5 9HF

  UNITED KINGDOM

  Phone

  +4401484722294

• 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

  Show 2 limitations Hide limitations

  • · 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 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.

• Christopher Walmsley

  IRN CXW00027

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • 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)
  • 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)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsible for Insurance Mediation (31 Jan 2018 to 30 Sep 2018)
  • CF1 Director (31 Jan 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (31 Jan 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (31 Jan 2018 to 8 Dec 2019)
  • CF30 Customer (17 Jul 2015 to 8 Dec 2019)
• Darren William Guy

  IRN DWG00006

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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)
  • [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)
  • CF1 Director (3 May 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (3 May 2005 to 31 Oct 2007)
• Ian David Brook

  IRN IDB00010

  • CF30 Customer (1 Nov 2007 to 2 Jul 2010)
  • CF21 Investment Adviser (13 Aug 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 May 2007 to 31 Oct 2007)
• Ian Walmsley

  IRN IXW00004

  • Responsible for Insurance Distribution (1 Oct 2018 to 8 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 3 Dec 2019)
  • Responsible for Insurance Mediation (3 May 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (3 May 2005 to 31 Mar 2009)
  • CF21 Investment Adviser (3 May 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (3 May 2005 to 8 Oct 2018)
  • CF1 Director (3 May 2005 to 3 Dec 2019)
  • CF10 Compliance Oversight (3 May 2005 to 8 Oct 2018)
• James Guy

  IRN JXG00369

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• John Digby Fox

  IRN JDF00004

  • CF1 Director (3 May 2005 to 31 Mar 2009)
• Karen Lesley Guy

  IRN KLW01068

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (11 Sep 2018 to 8 Dec 2019)
• Keith Nicholson

  IRN KXN00014

  • CF30 Customer (1 Nov 2007 to 31 Dec 2013)
  • CF21 Investment Adviser (3 May 2005 to 31 Oct 2007)
• Mark Payne

  IRN MXP01556

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (18 Apr 2019 to 8 Dec 2019)
• Sharon Lynn Harrop

  IRN SLH01111

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Jun 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Jun 2024)
  • CF30 Customer (16 Apr 2018 to 8 Dec 2019)

No changes recorded yet.