Active Financial Planners Limited

• Principal Place of Business

  Active House

  1 Dukes Court

  Thornaby

  Stockton On Tees

  TS17 9LR

  UNITED KINGDOM

  Phone

  +441642765957

  Web

  https://www.activefinancialplanners.co.uk

• Complaints Contact

  Active House

  1 Dukes Court

  Thornaby

  Stockton On Tees

  TS17 9LR

  UNITED KINGDOM

  Phone

  +441642765957

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

  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.

• 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

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• 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.

• Gordon Covell

  IRN GXC00016

  • CF1 Director (AR) (25 Aug 2006 to 31 Mar 2008)
• Graham Richardson

  IRN GXR00092

  • CF22 Investment Adviser (Trainee) (27 Jul 2005 to 14 Aug 2006)
• Ian David Parminter

  IRN IDP00008

  • CF30 Customer (2 Dec 2008 to 27 Mar 2015)
• Ian Layton

  IRN IXL00001

  • CF30 Customer (1 Nov 2007 to 25 Nov 2010)
  • CF21 Investment Adviser (5 Jul 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (3 Oct 2006 to 5 Jul 2007)
• James Scott Robertson

  IRN JSR00011

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (10 Jun 2010 to 8 Dec 2019)
• Joanne Elizabeth Fisher

  IRN JEM00021

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 4 May 2021)
  • [FCA CF] Client dealing (since 4 May 2021)
• Joseph Daniel Carey

  IRN JDC01218

  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (6 Feb 2017 to 8 Dec 2019)
• Karl Andrew Nendick

  IRN KAM00027

  • [FCA CF] Client dealing (9 Dec 2019 to 27 Feb 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 Feb 2026)
  • SMF16 Compliance Oversight (9 Dec 2019 to 12 Feb 2026)
  • SMF3 Executive Director (9 Dec 2019 to 22 Apr 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Feb 2026)
  • Responsible for Insurance Distribution (1 Oct 2018 to 22 Apr 2025)
  • CF10 Compliance Oversight (1 Oct 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Oct 2018 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (1 Oct 2018 to 22 Apr 2025)
  • CF30 Customer (27 Jun 2013 to 8 Dec 2019)
  • CF1 Director (27 Jun 2013 to 8 Dec 2019)
• Karl Pemberton

  IRN KXP01238

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (22 Oct 2007 to 31 Oct 2007)
  • CF1 Director (10 May 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (10 May 2007 to 22 Oct 2007)
• Katie Diane Davis

  IRN KDG01019

  • CF30 Customer (4 Sep 2014 to 27 Dec 2017)

• Independent Mortgages Direct Limited (no longer appointed)

  FRN 222612 · Appointed 13 Oct 2005 · Until 19 May 2008

• Active Mortgage Services Ltd (no longer appointed)

  FRN 432990 · Appointed 20 May 2005 · Until 31 Mar 2008

No changes recorded yet.