AISA FINANCIAL PLANNING LIMITED

• Principal Place of Business

  Unit 5 The Grain Store

  Manor Farm

  Coate

  Devizes

  Wiltshire

  SN10 3LP

  UNITED KINGDOM

  Phone

  +4401672569111

  Web

  https://www.aisagroup.org

• Complaints Contact

  Unit 5 The Grain Store

  Manor Farm

  Coate

  Devizes

  Wiltshire

  SN10 3LP

  UNITED KINGDOM

  Phone

  +4401672569111

• Buy-to-Let Mortgage Advice

• 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

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  • · 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

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• 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.

• Ian David Millward

  IRN IDM00010

  • CF30 Customer (22 May 2012 to 15 Apr 2013)
• James Leonard Pearcy-Caldwell

  IRN JLP00009

  • 11. Pension transfer specialist
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • Appointed representative dealing with clients for which they require qualification (since 6 May 2022)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF4 Partner (AR) (since 8 Sep 2017)
  • CF30 Customer (since 1 Nov 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Jeremy Henry Bezant

  IRN JHB01113

  • [FCA CF] Functions requiring qualifications (1 Apr 2025 to 27 Feb 2026)
  • [FCA CF] Client dealing (1 Apr 2025 to 27 Feb 2026)
• John Reid

  IRN JXR00136

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (22 Feb 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (3 Mar 2005 to 22 Feb 2007)
• Marius John Hampden

  IRN MJH01536

  • CF30 Customer (6 Jan 2018 to 14 Dec 2018)
• Patrick Alexander Wetherall Moore

  IRN PAM00010

  • CF30 Customer (13 Jan 2010 to 22 Jul 2011)
• Paul St John Derbyshire

  IRN PSD00005

  • CF21 Investment Adviser (24 Apr 2002 to 3 Mar 2006)
  • CF22 Investment Adviser (Trainee) (21 Jan 2002 to 24 Apr 2002)
• Philip Richard Owen Teague

  IRN PRT01055

  • CF30 Customer (4 Jun 2010 to 21 Dec 2012)
• Sally Anne Pearcy-Caldwell

  IRN SAP00043

  • CF1 Director (1 Dec 2001 to 31 Jan 2006)
• Timothy Colin Kent

  IRN TCK00002

  • CF21 Investment Adviser (1 Dec 2001 to 9 Jul 2002)

• Aisa Retirement Planning LLP

  FRN 779882 · Appointed 26 May 2017 · Tied agent

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