AVISTA FINANCIAL PLANNING LTD

• Principal Place of Business

  422 Chester Road

  Little Sutton

  Ellesmere Port

  Cheshire

  CH66 3RB

  UNITED KINGDOM

  Phone

  +4401513480821

  Web

  https://www.avistafp.co.uk

• Complaints Contact

  422 Chester Road

  Little Sutton

  Ellesmere Port

  Cheshire

  CH66 3RB

  UNITED KINGDOM

  Phone

  +4401513480821

• 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

  Show 2 limitations Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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, 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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Commercial, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

  Show 1 limitation Hide limitations

  • · The firm may not broker credit for the purpose of increasing the funds available for investment.

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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, 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, Rights to or interests in investments (Contractually Based Investments), 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.

• Credit Score Services

  Show 1 limitation Hide limitations

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

• Charlotte Pritchard

  IRN CXP00057

  • [FCA CF] Client dealing (21 Sep 2020 to 7 Nov 2021)
  • [FCA CF] Functions requiring qualifications (21 Sep 2020 to 7 Nov 2021)
• Debra Patricia Mearns

  IRN DPM01194

  • [FCA CF] Client dealing (9 Dec 2019 to 27 May 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 May 2022)
  • CF30 Customer (9 May 2018 to 8 Dec 2019)
• Gail McElroy

  IRN GXM00026

  • CF30 Customer (3 Mar 2014 to 15 Feb 2019)
• John Patrick Glennon

  IRN JPG00005

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Jun 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 25 Jun 2025)
  • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
• Louis Durnell

  IRN LXD00441

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 21 Jul 2025)
• Martin Paul Brooks

  IRN MPB00034

  • CF30 Customer (15 Oct 2015 to 13 Dec 2018)
  • CF1 Director (AR) (15 Oct 2015 to 2 Jan 2019)
• Nathan Durnell

  IRN NXD00016

  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 28 Oct 2016)
  • Responsible for Insurance Mediation (2 Jan 2014 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (2 Jan 2014 to 8 Dec 2019)
  • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
  • CF1 Director (2 Jan 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Jan 2014 to 8 Dec 2019)
• Nigel Gardner

  IRN NAG00004

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
• Roger Smith

  IRN RXS00159

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 15 Dec 2020)
• Ross William Turner

  IRN RWT00030

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (2 Jan 2014 to 8 Dec 2019)

• Brooks Financial Consultancy Ltd (no longer appointed)

  FRN 531840 · Appointed 13 Jul 2015 · Until 2 Jan 2019

No changes recorded yet.