Synergy Financial Products Limited

• Principal Place of Business

  Building 1

  Centrium

  Griffiths Way

  St. Albans

  Hertfordshire

  AL1 2RD

  UNITED KINGDOM

  Phone

  +4401727734300

  Web

  https://www.sfpl.co.uk

• Complaints Contact

  Building 1

  Centrium

  Griffiths Way

  St. Albans

  Hertfordshire

  AL1 2RD

  UNITED KINGDOM

  Phone

  +4401727734300

• P2P Lending Advice

  For Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

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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.

• 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, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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

• Arranges Asset Safekeeping

  For Retail (Investment), Certificates representing certain security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Insurance Admin

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

• Stockbroking

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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 Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share

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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.

• Holds Your Assets

  For Retail (Investment), Certificates representing certain security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Geoffrey Spittle

  IRN GXS01499

  • CF1 Director (8 Mar 2005 to 5 Dec 2005)
  • CF2 Non Executive Director (14 Jan 2005 to 8 Mar 2005)
• Graham George Bateman

  IRN GGB01023

  • CF10 Compliance Oversight (12 Jul 2013 to 5 Jun 2014)
  • CF11 Money Laundering Reporting (12 Jul 2013 to 5 Jun 2014)
  • CF1 Director (5 Apr 2013 to 5 Jun 2014)
• Ian Paul Hammond

  IRN IPH00008

  • CF11 Money Laundering Reporting (19 Aug 2005 to 8 Dec 2006)
• John Benjamin Pears

  IRN JBP01067

  • Responsible for Insurance Mediation (1 Apr 2016 to 1 Dec 2016)
  • CF3 Chief Executive (1 Apr 2016 to 1 Dec 2016)
  • CF1 Director (2 Feb 2016 to 1 Dec 2016)
  • CF30 Customer (21 Jan 2015 to 1 Nov 2016)
• John Christopher Waller

  IRN JCW01134

  • Responsible for Insurance Mediation (2 Sep 2005 to 3 May 2013)
  • CF3 Chief Executive (21 Mar 2005 to 4 Mar 2011)
  • CF8 Apportionment and Oversight (21 Mar 2005 to 31 Mar 2009)
  • CF17 Significant Mgt (Other Business Operations) (14 Jan 2005 to 4 Jun 2007)
  • CF1 Director (14 Jan 2005 to 3 May 2013)
• John Robert White

  IRN JRW01100

  • CF10 Compliance Oversight (15 Jan 2007 to 1 Dec 2007)
  • CF11 Money Laundering Reporting (15 Jan 2007 to 1 Dec 2007)
• Julia Cooper

  IRN JXC02030

  • CF11 Money Laundering Reporting (19 Jun 2014 to 28 Jan 2015)
  • CF10 Compliance Oversight (19 Jun 2014 to 28 Jan 2015)
• Julian Wolf

  IRN JXW02278

  • CF10a CASS Oversight function (19 Feb 2015 to 3 Jan 2017)
• Leslie Mark Warner

  IRN LMW01031

  • CF11 Money Laundering Reporting (18 May 2005 to 18 Jul 2005)
• Mark Stephen Turner

  IRN MST01083

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Mar 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 19 Mar 2021)
  • CF28 Systems and controls (28 May 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (28 May 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (28 May 2015 to 8 Dec 2019)

No changes recorded yet.