Adroit Financial Planning Limited

• Principal Place of Business

  40 Leadenhall Street

  London

  EC3A 2BJ

  UNITED KINGDOM

  Phone

  +4402074996424

  Web

  https://www.adroitfp.co.uk

• Complaints Contact

  40 Leadenhall Street

  London

  EC3A 2BJ

  UNITED KINGDOM

  Phone

  +4402074996424

• Pension Transfer Advice

  For 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.

• Investment Advice (no pensions)

  For Commercial, 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

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  • · 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.

• Authorised to Operate

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

• Arranges Investments

  For Commercial, 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

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  • · 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.

• Investment Setup

  For Commercial, 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

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  • · 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.

• Basic Pension Advice

  For Retail (Investment), Stakeholder products

• Clair Louise McNichol

  IRN CXM21448

  • SMF3 Executive Director (23 Dec 2019 to 19 Jul 2021)
• Emma Elizabeth Holt

  IRN EEH01022

  • Responsible for Insurance Mediation (30 Oct 2015 to 26 Jun 2018)
  • CF1 Director (7 Nov 2012 to 25 Aug 2018)
• Geoff Robert Drake

  IRN GRD01083

  • CF1 Director (11 Feb 2015 to 19 Jan 2016)
• Haydn Robert Barlow

  IRN HXB01348

  • CF30 Customer (1 Jan 2014 to 2 Dec 2014)
• Helena Roberts

  IRN HXR06646

  • SMF3 Executive Director (9 Dec 2019 to 13 Jul 2023)
  • CF1 Director (10 Oct 2018 to 8 Dec 2019)
• Jatin Mistry

  IRN JXM13680

  • CF30 Customer (10 Apr 2019 to 8 Dec 2019)
• John George Cotton

  IRN JGC01069

  • CF30 Customer (7 Nov 2012 to 13 May 2016)
  • Responsible for Insurance Mediation (7 Nov 2012 to 15 Oct 2015)
  • CF1 Director (7 Nov 2012 to 15 Oct 2015)
  • CF11 Money Laundering Reporting (7 Nov 2012 to 13 May 2016)
• John Martin Webber

  IRN JMW00070

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Jul 2020)
  • CF11 Money Laundering Reporting (9 Jun 2016 to 8 Dec 2019)
• Joseph Stanley Coupe

  IRN JSC00027

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Nov 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 Nov 2023)
  • CF30 Customer (13 Jan 2017 to 8 Dec 2019)
• Kenneth John Fowlie

  IRN KJF01066

  • CF1 Director (14 Mar 2018 to 14 Feb 2019)

No changes recorded yet.