Argentis Financial Planning Ltd

• Principal Place of Business

  5 Lancer House

  Westside View

  Waterlooville

  Hampshire

  PO7 7SE

  UNITED KINGDOM

  Phone

  +442392231448

  Web

  https://www.argentis.co.uk

• Complaints Contact

  5 Lancer House

  Westside View

  Waterlooville

  Hampshire

  PO7 7SE

  UNITED KINGDOM

  Phone

  +442392231448

• 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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  • · 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, 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 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.

• 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.

• Barbara Marie Smith-Galer

  IRN BMH01043

  • 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)
  • 9A. Advising on P2P agreements
  • [FCA CF] Client dealing (since 20 Sep 2021)
  • [FCA CF] Functions requiring qualifications (since 20 Sep 2021)
• Ben Christmas

  IRN BXC00172

  • 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)
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 10 Apr 2023)
  • [FCA CF] Client dealing (since 10 Apr 2023)
• Brian John Martin

  IRN BJM01190

  • 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
  • 9A. Advising on P2P agreements
  • 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)
• Cara Herdman

  IRN CXH00025

  • [FCA CF] Functions requiring qualifications (22 Sep 2023 to 10 Jul 2024)
  • [FCA CF] Client dealing (22 Sep 2023 to 10 Jul 2024)
• Charles Cavendish

  IRN CXC01690

  • [FCA CF] Client dealing (9 Dec 2019 to 20 May 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 May 2021)
• Charles George Frederick Carter

  IRN CXC00376

  • [FCA CF] Client dealing (31 Jan 2024 to 26 Feb 2024)
  • [FCA CF] Functions requiring qualifications (31 Jan 2024 to 26 Feb 2024)
• Christopher John Dancy

  IRN CJD00038

  • [FCA CF] Manager of certification employee (1 Feb 2021 to 28 Feb 2022)
• Christopher Parker

  IRN CXP01249

  • 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
  • 9A. Advising on P2P agreements
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Claire Rebecca Armstrong

  IRN CRM01095

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 May 2025)
  • SMF16 Compliance Oversight (since 23 May 2025)
• Colin Robinson

  IRN CXR00102

  • [FCA CF] Functions requiring qualifications (26 Sep 2022 to 6 Mar 2024)
  • [FCA CF] Client dealing (26 Sep 2022 to 6 Mar 2024)

No changes recorded yet.