Aurea Financial Planning Limited

Date authorised
1 April 2013
Companies House
01327039
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Aurea Financial Planning Limited
    Room 239, Regus
    Stuart House
    St Johns Street
    Peterborough
    PE1 5DD
    UNITED KINGDOM
    Phone
    +441733345525
    Web
    https://www.aureafp.co.uk

  • Complaints Contact

    Aurea Financial Planning Limited
    Room 239, Regus
    Stuart House
    St Johns Street
    Peterborough
    PE1 5DD
    UNITED KINGDOM
    Phone
    +441733345525

What this firm is allowed to do

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

  • 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 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 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
    • · 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 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
    • · 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.

  • Insurance Admin

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

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management 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
    • · 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.

Approved individuals

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

  • Adrian James Clayfield

    IRN AJC00006

    • CF8 Apportionment and Oversight (1 Dec 2001 to 7 Nov 2003)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 7 Nov 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 7 Nov 2003)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 7 Nov 2003)
    • CF10 Compliance Oversight (1 Dec 2001 to 7 Nov 2003)
    • CF1 Director (1 Dec 2001 to 7 Nov 2003)
  • Daniel Victor Seal

    IRN DVS01008

    • CF30 Customer (16 Feb 2011 to 31 May 2015)
  • Helen Woolgar-Bowles

    IRN HXW00023

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 Jan 2024)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 5 Sep 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Sep 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 5 Sep 2023)
    • Responsible for Insurance Mediation (18 Aug 2006 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (30 Jul 2004 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (30 Jul 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Jul 2004 to 8 Dec 2019)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Jane Smethurst

    IRN JAL00062

    • CF24 Pension Transfer Specialist (1 Feb 2005 to 31 Jan 2006)
    • CF21 Investment Adviser (1 Feb 2005 to 31 Jan 2006)
  • Jeanette Barrow

    IRN JXB00075

    • CF21 Investment Adviser (1 Dec 2001 to 29 Feb 2004)
    • CF2 Non Executive Director (1 Dec 2001 to 29 Feb 2004)
  • Kenneth Rodney Woolgar-Bowles

    IRN KRW00003

    • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2003)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 30 Sep 2003)
    • CF1 Director (1 Dec 2001 to 30 Sep 2003)
  • Paul Claricoates

    IRN PEC01040

    • CF21 Investment Adviser (14 Mar 2006 to 28 Sep 2006)
  • Rebecca Jane Taylor

    IRN RJT00063

    • 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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Responsible for Insurance Distribution (since 14 Jul 2023)
    • SMF16 Compliance Oversight (since 14 Jul 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (20 Jul 2004 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (20 Jul 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Oct 2002 to 31 Oct 2007)
  • Robin Geoffrey Platts

    IRN RGP01040

    • CF22 Investment Adviser (Trainee) (16 Feb 2006 to 3 Nov 2006)
  • Sallie Parker-Bowles

    IRN SXW00006

    • Responsible for Insurance Mediation (14 Jan 2005 to 31 May 2006)
    • CF1 Director (1 Dec 2001 to 31 May 2006)
    • CF10 Compliance Oversight (1 Dec 2001 to 26 Jul 2004)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 26 Jul 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 31 May 2006)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 26 Jul 2004)
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Recent activity

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

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