Thompson Jenner Financial Services Limited

• Principal Place of Business

  1 Colleton Crescent

  Exeter

  Devon

  EX2 4DG

  UNITED KINGDOM

  Phone

  +4401392258553

  Web

  https://www.tjfs.co.uk

• Complaints Contact

  1 Colleton Crescent

  Exeter

  Devon

  EX2 4DG

  UNITED KINGDOM

  Phone

  +4401392258553

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 pension policies with a Guaranteed Annuity Rate.
  • · 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.

• 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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, 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.

• Michael James Hart

  IRN MJH01426

  • CF2 Non Executive Director (7 Apr 2004 to 31 Mar 2013)
• Neil David Sear

  IRN NDS00005

  • SMF3 Executive Director (16 Feb 2020 to 1 Apr 2024)
  • SMF1 Chief Executive (16 Feb 2020 to 16 Feb 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Apr 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Apr 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 1 Apr 2024)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 1 Apr 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (13 Sep 2002 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Sep 2002 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (13 Sep 2002 to 31 Mar 2009)
  • CF3 Chief Executive (13 Sep 2002 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (13 Sep 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (13 Sep 2002 to 31 Oct 2007)
• Neil Ralph Curtis

  IRN NRC01036

  • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2022)
  • CF1 Director (9 Apr 2011 to 8 Dec 2019)
  • CF2 Non Executive Director (13 Sep 2002 to 9 Apr 2011)
• Paul Edward Carnell

  IRN PEC01076

  • SMF3 Executive Director (since 19 Feb 2020)
  • CF2 Non Executive Director (22 May 2013 to 8 Dec 2019)
• Paul Stuart Lucas

  IRN PSL00007

  • [FCA CF] Functions requiring qualifications (12 Jun 2023 to 1 Jan 2024)
  • [FCA CF] Client dealing (12 Jun 2023 to 1 Jan 2024)
• Paul William Lewis

  IRN PXL00214

  • SMF3 Executive Director (since 18 Dec 2023)
• Philip Glyn Dalley

  IRN PGD00006

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (8 Nov 2005 to 31 Oct 2007)
• Rachel Catherine Nicholson

  IRN RXN00118

  • [FCA CF] Client dealing (3 Jul 2023 to 12 Jan 2024)
  • [FCA CF] Functions requiring qualifications (3 Jul 2023 to 12 Jan 2024)
• Ruskin Howard Brice Wilson

  IRN RHW01029

  • SMF3 Executive Director (since 16 Feb 2020)
  • CF2 Non Executive Director (13 Sep 2002 to 8 Dec 2019)
• Simon James Lewis

  IRN SJL01262

  • SMF3 Executive Director (since 18 Feb 2020)
  • CF2 Non Executive Director (8 Jan 2008 to 8 Dec 2019)

No changes recorded yet.