WALLACE NICHOLS FINANCIAL SERVICES LIMITED

Date authorised
1 April 2013
Companies House
03933028
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Days Lettings, 3 Marmion Road
    Southsea
    Portsmouth
    PO5 2AT
    UNITED KINGDOM
    Phone
    +4402392352943
    Web
    https://www.wallacenichols.co.uk

  • Complaints Contact

    Days Lettings
    3 Marmion Road
    Southsea
    Portsmouth
    PO5 2AT
    UNITED KINGDOM
    Phone
    +4402392352943

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • P2P Lending Advice

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

  • 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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

    Show 1 limitation
    • · Limited to credit broking that will not be used to leverage an investment.

  • Debt Advice

    Show 2 limitations
    • · This permission is limited to debt counselling which is provided in connection with investment advice or advice on buy to let mortgages
    • · This permission is limited to debt counselling with no debt management activity

  • 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Michael Nichols

    IRN MXN00014

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (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 27 Sep 2016)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (18 Dec 2003 to 31 Oct 2007)
    • CF1 Director (18 Dec 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (18 Dec 2003 to 31 Mar 2009)
    • CF10 Compliance Oversight (18 Dec 2003 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 Dec 2003 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

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