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.

• Ketan Kantilal Shah

  IRN KKS01016

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Kimberley Sophia Lall

  IRN KXL46840

  • 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 15 Aug 2023)
  • [FCA CF] Client dealing (since 15 Aug 2023)
• Leonard Stanley Ozanne

  IRN LSO00002

  • [FCA CF] Client dealing (9 Dec 2019 to 23 Aug 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Aug 2022)
• Lisa Butler

  IRN LXB00838

  • [FCA CF] Manager of certification employee (since 19 Sep 2025)
• Lisa Elaine Nicholson

  IRN LEN01010

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Apr 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 14 Apr 2023)
  • CF10 Compliance Oversight (25 Jun 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (25 Jun 2019 to 8 Dec 2019)
• Mandy Anne Prince

  IRN MAF01131

  • 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 28 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 28 Nov 2023)
• Marcin Wojcik

  IRN MXW02433

  • 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 19 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 19 Feb 2025)
• Mark Jonathan Smale

  IRN MJS01414

  • [FCA CF] Client dealing (25 Sep 2023 to 9 Jul 2024)
  • [FCA CF] Functions requiring qualifications (25 Sep 2023 to 9 Jul 2024)
• Mark Robert Higgins

  IRN MRH01265

  • 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 6 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 6 Feb 2025)
• Martyn Davey

  IRN MXD00181

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Oct 2023)

No changes recorded yet.