AFFLUENT FINANCIAL PLANNING LTD.

• Principal Place of Business

  Affluent Financial Planning Ltd

  Kirkinner Place

  1 Main Street

  Bridge Of Weir

  Renfrewshire

  PA11 3AA

  UNITED KINGDOM

  Phone

  +4401505595060

  Web

  https://www.affluentfp.co.uk

• Complaints Contact

  Affluent Financial Planning Ltd

  Kirkinner Place

  1 Main Street

  Bridge Of Weir

  Renfrewshire

  PA11 3AA

  UNITED KINGDOM

  Phone

  +4401505595060

• Buy-to-Let Mortgage Advice

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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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  • · 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, 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

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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, 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 2 limitations 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.
  • · Limited to activity in respect of non-investment insurance contracts, to a non-mainstream regulated activity

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• 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.

• Allan James Pratt

  IRN AJP00049

  • CF21 Investment Adviser (10 Sep 2002 to 29 Dec 2003)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 10 Sep 2002)
• Anthony McMenamin

  IRN AXM00317

  • [FCA CF] Client dealing (1 Jun 2021 to 17 Sep 2021)
  • [FCA CF] Functions requiring qualifications (1 Jun 2021 to 17 Sep 2021)
• Carl Melvin

  IRN CXM00016

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • 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)
  • 11. Pension transfer specialist
  • [FCA CF] Manager of certification employee (since 1 Jun 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 21 May 2008)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Carol Brown - Blair

  IRN CXB01834

  • CF30 Customer (16 Sep 2008 to 1 Mar 2011)
  • CF10 Compliance Oversight (16 Sep 2008 to 1 Mar 2011)
  • CF11 Money Laundering Reporting (16 Sep 2008 to 1 Mar 2011)
• Darren Mark Watson

  IRN DMW01133

  • 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
  • 11. Pension transfer specialist
  • [FCA CF] Client dealing (since 27 May 2024)
  • [FCA CF] Functions requiring qualifications (since 27 May 2024)
• Edward Boyle

  IRN EXB00050

  • CF30 Customer (1 Nov 2007 to 3 Oct 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• James Kent

  IRN JXK00523

  • [FCA CF] Client dealing (19 Apr 2023 to 5 Jun 2023)
  • [FCA CF] Functions requiring qualifications (19 Apr 2023 to 5 Jun 2023)
• Karen Hassan

  IRN KXH01450

  • [FCA CF] Functions requiring qualifications (9 Mar 2023 to 19 May 2023)
  • [FCA CF] Client dealing (9 Mar 2023 to 19 May 2023)
• Kitty Stirling

  IRN KXS00766

  • [FCA CF] Manager of certification employee (23 Sep 2024 to 3 Mar 2025)
• Rebecca Jane Kowalski

  IRN RJK01103

  • CF30 Customer (19 Aug 2009 to 25 Jan 2010)

• Affluent Wealth Management Ltd (no longer appointed)

  FRN 447128 · Appointed 19 Jan 2006 · Until 21 Dec 2012

• Pension Transfer Solutions Ltd (no longer appointed)

  FRN 207460 · Appointed 4 Dec 2001 · Until 21 Dec 2012

No changes recorded yet.