Arian Financial Planning Ltd

Date authorised
1 April 2013
Companies House
07553533
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Building 24
    Stradey Business Park
    Llangennech
    Llanelli
    Carmarthenshire
    SA14 8YP
    UNITED KINGDOM
    Phone
    +4401554857577
    Web
    https://www.arianfp.co.uk

  • Complaints Contact

    Building 24
    Stradey Business Park
    Llangennech
    Llanelli
    Carmarthenshire
    SA14 8YP
    UNITED KINGDOM
    Phone
    +4407774040227

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

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

  • Pension Transfer Advice

    For 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 2 limitations
    • · 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 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
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For 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
    • · 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 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

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alexandra James

    IRN AXJ01789

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (6 Apr 2016 to 8 Dec 2019)
  • Heddwyn Anthony James

    IRN HAJ00006

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (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)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Jul 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2011 to 8 Dec 2019)
    • CF1 Director (1 Jul 2011 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jul 2011 to 30 Sep 2018)
  • Tanya Cullen Topping

    IRN TXT00204

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 1 Aug 2023)
    • [FCA CF] Client dealing (since 1 Aug 2023)
    • Appointed representative dealing with clients for which they require qualification (since 1 Aug 2023)

Recent activity

Updates to this firm's record on the FCA register.

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