Welcome to. Friendly Impartial Respected

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1 Welcome to Friendly Impartial Respected

2 We are expert Financial Planners, specialising in pensions, investments, mortgages, life, health and critical illness insurances. Since 1980, our experience has helped our clients to keep and grow their money, as well as make sensible financial decisions for their future. Friendly We help our clients with their prosperity and financial well-being by cutting through the jargon to provide honest, open, accessible and straightforward financial advice. We ll always put your financial agenda before ours and provide you with advice that we genuinely believe is in your best interest. From our plain talking approach to our passion for building long-lasting relationships, we go further to help you achieve more. Only by getting to truly know our clients personally, can we understand their aspirations and goals for their finances. Our friendly and trustworthy approach means clients confide, which allows us to tailor plans to give them long term financial peace of mind. Respected We look after over 1 billion of clients investments, pensions and savings, and our mission is to be the UK s most trusted provider of lifelong financial advice. We employ the very best people within the industry as our own in-house specialists. Pensions, estate management and investment teams all work together to provide knowledge and experience, which is reflected in how we deal with our clients. We are regularly called upon by the media to comment on financial matters, as respected members of the financial services industry. Impartial We are totally independent, privately owned, and not tied to or influenced by any products or providers, which means that our advice is always impartial. As Independent Financial Advisers, we are authorised and regulated by the Financial Conduct Authority (FCA). Therefore, we are obliged to research and recommend solutions from the whole of the market. We are not incentivised by sales we charge an agreed fixed fee for our services, so that we are always acting in the best interests of our clients. 1 Welcome to Ellis Bates ellisbates.com 2

3 What we do Investments We analyse your objectives, risk preferences, and your financial situation to create a bespoke strategy. We have our own in-house investment team who are constantly keeping an eye on our clients investments to protect and grow them for current and future income. We make sure that we protect our clients assets as much as possible from income and capital gains taxes. Mortgages We use our experience and personal approach to find you the right mortgage, whatever your requirements for your property. Being independent, we are able to search the whole market to find a deal to match your financial circumstances, we ll even liaise with Estate Agents and Solicitors for you until the purchase goes through. If your deal is due to end, we ll get back in touch and make sure you re still getting the best available product. Pensions and retirement planning Inheritance and will planning We will guide and advise you on how best to position your assets so that you re confident they ll end up where you want them, whilst reducing your tax liability as much as possible. We develop long-term established relationships with our clients, their children and grandchildren. It is essential to have succession plans in place for the continuity of advice, allowing us to maintain the Ellis Bates service and quality. We analyse your retirement goals, and through a series of life cycle plans, we help you to work out how much you should be saving to get the best possible income in retirement. Life, health and critical illness insurance We help our clients to choose the best possible insurance packages so that they have peace of mind that their loved ones and family will be protected and cared for financially. 3 Welcome to Ellis Bates ellisbates.com 4

4 Why we re great at what we do Quality advice, from a quality team It s not just one Adviser who helps our clients we work together as a team, meaning clients deal with a variety of our team depending on their specific needs. Our experts work in collaboration to develop recommendations and everything is bespoke to the individual client. We have our own in-house investment team who constantly look at the markets to ensure our clients monies are working the best they possibly can. We invest in our people Our employees are key to our success, and to the financial achievement and security of our clients. We develop our people to be the best they can be, so they are fully trained and able to match their own ambitions to that of our growing company. We are delighted to have been accepted by the Chartered Institute of Insurance (CII) as a recognised examination centre for financial services qualifications. We re proud to be... Client-focused Independent Trustworthy Approachable Forward-thinking Community-minded Real people, accessible when you need us We re big enough to have an impact We maintain a caring and personable approach to our work, meaning that if you call us you will get through to a real person who will either assist you, or find someone who can. The combined investments managed by Ellis Bates totals over 1 billion. This means that we have significant buying power and allows us to access information, product solutions and opportunities that smaller IFA firms may not be aware of. 5 Welcome to Ellis Bates ellisbates.com 6

5 Why us? What happens once you become a client? Choosing the right company to provide you with sound and trustworthy financial advice isn t a decision that can be taken lightly. We know that there s a lot at stake, and that your wealth is not simply about money, it s about your security both now and in the future. STEP 1 You will have a dedicated and qualified Adviser who will guide you on an ongoing basis. They are supported by our Client Research team so that we can provide you with the best quality advice. STEP 1 STEP 2 STEP 4 1 STEP 3 STEP 5 STEP 2 Our Client Servicing team will be responsible for co-ordinating your journey with us, ensuring a central contact for day-to-day queries during office hours. STEP 3 Depending on your investments, we may be able to provide you with log-in details enabling you to access valuations of your portfolio 24 hours a day. STEP 4 We will review your plan to measure progress and amend where necessary, should your situation or objectives change. STEP 5 We will donate money to charity for every person you refer to us. 7 Welcome to Ellis Bates ellisbates.com 8

6 Our history 1999 Acquisition of Berry Stainsby & Walker Financial Planning Ltd, a successful and established Independent Financial Adviser firm in Newcastle. Many employees from Berry Stainsby & Walker are still employed by Ellis Bates today Acquisition of Brigham Brining Independent Financial Adviser firm in Harrogate. Brigham Brining had previously purchased the IFA business of Yorkshire Building Society and were therefore an acquisition of some scale Grant Ellis and Peter Bates founded the Ellis Bates family of companies following a background in insurance and financial services in Harrogate. They are still part of the company today and are active members of the Board. Peter Bates is also an important member of the Investment Committee We gained the Investors in People accreditation and this was successfully renewed in 2015 and again in Where we ve come from has shaped where we are today and will be integral to where we ll be in the future and that s something we ll always remember. Grant Ellis, Director 2013 Ellis Bates Insurance Brokers sold to Towergate to concentrate on Independent Financial Advice and develop our services further Recognised as a centre for professional learning excellence by the Chartered Insurance Institute (CII) with the Harrogate office becoming a designated online examination centre for our employees Continuing Professional Development (CPD) Rebranding from Ellis Bates Group to Ellis Bates Financial Advisers. Financial Planning teams are established across various regions within the UK. 9 Welcome to Ellis Bates ellisbates.com 10

7 Financial Planning Investments Pensions Mortgages Life & Health Insurance Ellis Bates Head Office Adam House Ripon Way Harrogate HG1 2AU Tel: ellisbates.com