TUDOR FINANCIAL OPTIONS LIMITED

• Principal Place of Business

  Tudor Financial Options Ltd

  1 The Street

  Appledore

  Kent

  TN26 2BU

  UNITED KINGDOM

  Phone

  +4401580764333

  Web

  https://www.t-fo.co.uk

• Complaints Contact

  1 The Street

  Appledore

  Kent

  TN26 2BU

  UNITED KINGDOM

  Phone

  +4401580764333

• Pension Transfer Advice

  For 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, 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 (contractually based)" is limited to 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, 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 (contractually based)" is limited to investment types granted for this activity.

• Insurance Admin

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

• Investment Setup

  For Commercial, 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 (contractually based)" is limited to investment types granted for this activity.

• Basic Pension Advice

  For Retail (Investment), Stakeholder products

• Alastair Ian Cameron-Dick

  IRN AIC01031

  • [FCA CF] Significant management (1 Jan 2021 to 31 Oct 2022)
  • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 31 Oct 2022)
  • [FCA CF] Client dealing (1 Jan 2021 to 31 Oct 2022)
  • SMF3 Executive Director (9 Dec 2019 to 31 Oct 2022)
  • CF30 Customer (10 Jul 2019 to 8 Dec 2019)
  • CF1 Director (22 Jan 2013 to 8 Dec 2019)
• Jennifer Rebecca Read

  IRN JRR01088

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (10 Jan 2007 to 8 Dec 2019)
• John Paul Edmund Rourke

  IRN JPR00018

  • 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)
  • [FCA CF] Manager of certification employee (since 1 Jan 2021)
  • [FCA CF] Significant management (since 1 Jan 2021)
  • [FCA CF] Client dealing (since 1 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (10 Jan 2007 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (10 Jan 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (10 Jan 2007 to 8 Dec 2019)
  • CF1 Director (10 Jan 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (10 Jan 2007 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (10 Jan 2007 to 31 Mar 2009)
• John William Rourke

  IRN JXR00594

  • 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)
  • [FCA CF] Functions requiring qualifications (since 22 Aug 2022)
  • [FCA CF] Client dealing (since 22 Aug 2022)
• Mark Goodfellow

  IRN MXG00770

  • [FCA CF] Client dealing (18 Oct 2024 to 21 Jul 2025)
  • [FCA CF] Functions requiring qualifications (18 Oct 2024 to 21 Jul 2025)
• Noel Jared Greaves

  IRN NJG00051

  • CF21 Investment Adviser (10 Jan 2007 to 1 Apr 2007)
• Peter James Denne

  IRN PJD01312

  • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 30 Sep 2022)
  • [FCA CF] Client dealing (1 Jan 2021 to 30 Sep 2022)
  • CF30 Customer (10 Oct 2017 to 8 Dec 2019)
• Richard Moor

  IRN RXM00125

  • CF30 Customer (7 Mar 2008 to 31 May 2011)
• Timothy James Elson

  IRN TJE01042

  • CF30 Customer (10 Oct 2014 to 28 Oct 2016)

No changes recorded yet.