Tandy Financial Services LLP

• Principal Place of Business

  Studio 3

  Waterside Court

  Third Avenue

  Centrum 100

  Burton upon Trent

  Staffordshire

  DE14 2WQ

  UNITED KINGDOM

  Phone

  +4401283536010

  Web

  https://www.tandyfinancialservices.co.uk

• Complaints Contact

  Studio 3

  Waterside Court

  Third Avenue

  Centrum 100

  Burton upon Trent

  Staffordshire

  DE14 2WQ

  UNITED KINGDOM

  Phone

  +4401283536010

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, 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, 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, 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, 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, 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling which is provided in connection with investment advice and/or Buy to let unregulated mortgages, second charge mortgages, 3rd charge mortgages and Bridging finance

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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, 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.

• Suzanne Mary Tandy

  IRN SME01031

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (8 Jul 2016 to 8 Dec 2019)
  • CF4 Partner (11 Aug 2008 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (11 Aug 2008 to 8 Dec 2019)
• Wayne Daniel Charles Tandy

  IRN WDT00003

  • 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
  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF8 Apportionment and Oversight (11 Aug 2008 to 31 Mar 2009)
  • CF4 Partner (11 Aug 2008 to 8 Dec 2019)
  • CF30 Customer (11 Aug 2008 to 8 Dec 2019)
  • Responsible for Insurance Mediation (11 Aug 2008 to 30 Sep 2018)
  • CF10 Compliance Oversight (11 Aug 2008 to 15 Jan 2014)

No changes recorded yet.