Trafalgar Financial Advisers

• Principal Place of Business

  26 Castellan Avenue

  Romford

  Essex

  RM2 6EJ

  UNITED KINGDOM

  Phone

  +4402076235678

• Complaints Contact

  26 Castellan Avenue

  Romford

  Essex

  RM2 6EJ

  UNITED KINGDOM

  Phone

  +4402076235678

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, 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

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, Eligible Counterparty, 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

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Eligible Counterparty, 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

  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.

• Herbert Henry

  IRN HXH00016

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 31 Jul 2016)
  • Responsible for Insurance Mediation (2 Apr 2007 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (2 Apr 2007 to 31 Mar 2009)
  • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (2 Apr 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Apr 2007 to 8 Dec 2019)
• Julius St Aubyn Thompson

  IRN JST01074

  • CF30 Customer (22 Sep 2016 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (22 Sep 2016 to 27 Sep 2016)
• Matthew Augustus Kendal

  IRN KAM00029

  • CF30 Customer (1 Nov 2007 to 24 Dec 2013)
  • CF22 Investment Adviser (Trainee) (2 Apr 2007 to 31 Oct 2007)

No changes recorded yet.