THOMAS & THOMAS FINANCIAL SERVICES LIMITED

• Principal Place of Business

  Thomas & Thomas Wealth Management

  Avallenau House

  Avallenau Drive

  Merlins Bridge

  Haverfordwest

  Pembrokeshire

  SA61 1XN

  UNITED KINGDOM

  Phone

  +4401437772228

  Web

  https://www.thomasandthomasfinance.co.uk

• Complaints Contact

  Thomas & Thomas Wealth Management

  Avallenau House

  Avallenau Drive

  Merlins Bridge

  Haverfordwest

  Pembrokeshire

  SA61 1XN

  UNITED KINGDOM

  Phone

  +4401437772228

• 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 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, 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.

• 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, 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.

• 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, 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.

• Bethan Louise James

  IRN BXJ00123

  • 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] Functions requiring qualifications (since 25 Sep 2023)
  • [FCA CF] Client dealing (since 25 Sep 2023)
• Darren Lloyd Thomas

  IRN DLT00014

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (1 Apr 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Apr 2008 to 8 Dec 2019)
  • CF1 Director (1 Apr 2008 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Apr 2008 to 31 Mar 2009)
  • Responsible for Insurance Mediation (1 Apr 2008 to 30 Sep 2018)
  • CF30 Customer (1 Apr 2008 to 8 Dec 2019)
• Emma Medi Jones

  IRN EXJ10798

  • CF30 Customer (29 Jan 2019 to 15 May 2019)
• Holly Louise Rathband

  IRN HXR00112

  • [FCA CF] Functions requiring qualifications (18 Oct 2021 to 10 May 2022)
  • [FCA CF] Client dealing (18 Oct 2021 to 10 May 2022)
• Katy Iris Elizabeth Caine

  IRN KIO01006

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Oct 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Oct 2023)
  • CF30 Customer (23 May 2016 to 8 Dec 2019)

• Evans Roach & Co Ltd (no longer appointed)

  FRN 490059 · Appointed 14 Oct 2008 · Until 5 Jun 2009

No changes recorded yet.