Yorkshire Independent Financial Advisers Limited

• Principal Place of Business

  Sentinel House

  Peasholme Green

  York

  North Yorkshire

  YO1 7PP

  UNITED KINGDOM

  Phone

  +4401904716000

  Web

  https://yifal.co.uk

• Complaints Contact

  Sentinel House

  Peasholme Green

  York

  North Yorkshire

  YO1 7PP

  UNITED KINGDOM

  Phone

  +4401904716000

• 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.

• Islamic Mortgage Advice

  For Customer, Home purchase plans

• Equity Release Advice

  For Customer, Home reversion plans

• 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 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 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.

• Islamic Mortgage Arranging

  For Customer, Home purchase plans

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

• Stockbroking

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

• Islamic Mortgage Setup

  For Customer, Home purchase plans

• Equity Release Setup

  For Customer, Home reversion plans

• 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.

• Andrew William Bell

  IRN AWB01085

  • CF1 Director (2 Nov 2012 to 1 Apr 2016)
  • CF1 Director (AR) (22 Apr 2010 to 1 Apr 2016)
  • CF30 Customer (10 Aug 2009 to 1 Apr 2016)
• Christopher Gareth Davies

  IRN CGD01034

  • CF30 Customer (1 Jul 2011 to 24 Aug 2012)
• Jeanette Marie Smith

  IRN JMS01407

  • CF1 Director (AR) (since 26 Jan 2010)
• Leslie Cantlay

  IRN LJC00007

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (31 Jan 2014 to 8 Dec 2019)
  • Responsible for Insurance Mediation (26 Nov 2007 to 21 Aug 2012)
  • CF8 Apportionment and Oversight (26 Nov 2007 to 31 Mar 2009)
  • CF30 Customer (26 Nov 2007 to 31 Dec 2013)
  • CF3 Chief Executive (26 Nov 2007 to 21 Aug 2012)
  • CF10 Compliance Oversight (26 Nov 2007 to 21 Aug 2012)
  • CF1 Director (26 Nov 2007 to 31 Dec 2013)
• Mark Andrew Coughlin

  IRN MAC00013

  • SMF16 Compliance Oversight (29 Jul 2020 to 2 Feb 2024)
• Michael Neil Peach

  IRN MNP01015

  • CF1 Director (AR) (since 24 Oct 2012)
  • CF2 Non Executive Director (26 Nov 2007 to 2 Nov 2012)
• Nicholas Robert Johnson

  IRN NRJ01013

  • Responsibility for MCD Intermediation (10 Oct 2016 to 31 Jan 2017)
  • Responsible for Insurance Mediation (5 Nov 2012 to 31 Jan 2017)
  • CF3 Chief Executive (21 Aug 2012 to 31 Jan 2017)
  • CF10 Compliance Oversight (21 Aug 2012 to 31 Jan 2017)
  • CF1 Director (26 Nov 2007 to 22 Nov 2010)
  • CF30 Customer (26 Nov 2007 to 1 Sep 2015)
• Nicky Wardle

  IRN NXW01135

  • CF30 Customer (3 Jan 2017 to 31 Jul 2020)
• Owen Roger Thomas

  IRN ORT01005

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • SMF16 Compliance Oversight (since 7 Jun 2024)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (AR) (since 21 Mar 2016)
  • CF30 Customer (since 14 Mar 2016)
  • CF1 Director (23 Aug 2016 to 8 Dec 2019)
• Peter Arthur Kay

  IRN PAK01085

  • 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)
  • Responsibility for MCD Intermediation (since 9 Feb 2017)
  • CF1 Director (AR) (since 1 Nov 2012)
  • SMF16 Compliance Oversight (9 Dec 2019 to 31 Jul 2020)
  • SMF1 Chief Executive (9 Dec 2019 to 12 Sep 2022)
  • CF3 Chief Executive (1 Dec 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Dec 2016 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (26 Nov 2007 to 8 Dec 2019)
  • CF1 Director (26 Nov 2007 to 8 Dec 2019)

• Ware & Kay Financial Services Ltd

  FRN 589926 · Appointed 18 Oct 2012

• Peter Howard Financial Services Ltd

  FRN 516003 · Appointed 11 Jan 2010

No changes recorded yet.