Allisons Financial Planning Limited

• Principal Place of Business

  Allisons Financial Planning Ltd

  3 Cross Pit Lane

  St. Helens

  WA11 8AH

  UNITED KINGDOM

  Phone

  +441744885555

  Web

  https://www.allisonsfinancial.com

• Complaints Contact

  Allisons Financial Planning Ltd

  3 Cross Pit Lane

  St. Helens

  WA11 8AH

  UNITED KINGDOM

  Phone

  +441744885555

• 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

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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.
  • · 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 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.

• 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.

• 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

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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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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

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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.

• Credit Score Services

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  • · This permission is limited to not carrying out credit repair services

• Alison Ann Baglow

  IRN AAB00006

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • 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)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 26 Sep 2018)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Apr 2023)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 1 Apr 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 1 Apr 2023)
  • CF11 Money Laundering Reporting (26 Sep 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (26 Sep 2018 to 8 Dec 2019)
  • CF1 Director (26 Sep 2018 to 8 Dec 2019)
  • Responsible for Insurance Mediation (26 Sep 2018 to 30 Sep 2018)
  • CF30 Customer (26 Sep 2018 to 8 Dec 2019)
• Edmund Robert Miller

  IRN ERM01038

  • [FCA CF] Client dealing (25 Jul 2022 to 21 Apr 2023)
• James Peter Quigley

  IRN JXQ00008

  • [FCA CF] Functions requiring qualifications (10 May 2023 to 31 Oct 2024)
• Lee Welch

  IRN LXW00259

  • [FCA CF] Functions requiring qualifications (1 Apr 2022 to 7 Jul 2022)
  • [FCA CF] Client dealing (1 Apr 2022 to 7 Jul 2022)
• Lewis Paul Armstrong

  IRN LXA00229

  • [FCA CF] Client dealing (1 Apr 2023 to 4 Oct 2023)
  • [FCA CF] Functions requiring qualifications (1 Apr 2023 to 4 Oct 2023)
• Lisa Mansfield

  IRN LXM00339

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 18 Nov 2024)
• Natalie Welsh

  IRN NXW00037

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Feb 2022)
• Nicholas Simon Mark Shaw

  IRN NSS01027

  • [FCA CF] Client dealing (2 Sep 2024 to 2 Oct 2024)
  • [FCA CF] Functions requiring qualifications (2 Sep 2024 to 2 Oct 2024)
• Nina Nickson

  IRN NXN00133

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 17 May 2024)
• Paul Barnard

  IRN PXB00458

  • [FCA CF] Functions requiring qualifications (21 Mar 2022 to 24 Jan 2023)
  • [FCA CF] Client dealing (21 Mar 2022 to 24 Jan 2023)

No changes recorded yet.