| Please supply in this section the information about your firm. Please note that the below contact details will be the details entered on your registration to the FCA. | |
| Name of Firm | SWS Financial Services Ltd |
| Is this firm currently registered with the FCA (Financial Conduct Authority)? | Yes |
| If this firm is curently registered with FCA, please confirm their Firm Reference Number. | 976427 |
| Trading Names (please provide details of all trading names if different to your registered
firm name) | SWS Financial |
| Legal Status (i.e., Sole Trader, Partnership, Ltd Company, LLP) | Limited Company |
| Company Registration Number
(if applicable) | 12490992 |
| What is the Date of incorporation of the above firm | 02/03/2020 |
| Address of Registered Office | 1st Floor, Healthaid House, Marlborough Hill, Harrow, Middlesex, England, HA1 1UD |
| Address of principal place of
business (if different from above) | |
| Office Telephone Number | 07713525045 |
| Office Fax Number | |
| Email address | scott@swsfinancial.co.uk |
| Please provide full names of all directors, company secretaries, shareholders, senior managers and controllers. | |
| Name | Scott William Sealby |
| Position Held | Director |
| Shareholding (if any) | 100% |
| Name | |
| Position Held | |
| Shareholding (if any) | |
| Name | |
| Position Held | |
| Shareholding (if any) | |
| Is the appointed representative part of a group? | No |
| If the appointed representative is part of a group, what is the name(s) and FRN(s) of the parent undertaking(s)? Helptext: If you have more than one parent undertaking firm then please provide them in the following format - FRN1 Firm name1; FRN 2 Firm name2; If a parent undertaking firm does not have an FRN, please provide name of the firm only. | |
| Does the appointed representative conduct any non-regulated activities? Does the non-regulated activity include non-regulated financial services activity? Please select all applicable activities from the following options. | |
| Introductions/referrals to other firms, relating to: | |
| Will Writing | Yes |
| Estate Planning (Trusts) | Yes |
| Estate Agency | Yes |
| Surveying | Yes |
| Conveyancing | Yes |
| Pensions and Investments (IFAs) | Yes |
| Introductions for commercial mortgages | Yes |
| Ancillary activities carries out by a firm: | |
| Buy To Let | Yes |
| Business Coaching | |
| Surveying | Yes |
| Estate Agency | Yes |
| Mortgage Capacity Reports (required by a Court for divorce cases) | |
| Please indicate how much income you expect to generate over the first 12 months (after becoming an Appointed Representative), that is derived from non-regulated financial services activities. | >=£0 and <£100k |