Balance: Wealth Planning Limited

• Principal Place of Business

  Balance Wealth Planning

  The Point

  Loughborough Road

  West Bridgford

  Nottingham

  Nottinghamshire

  NG2 7QW

  UNITED KINGDOM

  Phone

  +441157722126

  Web

  http://www.balancewealth.uk

• Complaints Contact

  Balance Wealth Planning

  The Point

  Loughborough Road

  West Bridgford

  Nottingham

  Nottinghamshire

  NG2 7QW

  UNITED KINGDOM

  Phone

  +441157722126

• 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

  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 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 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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.

• Alistair David Hill

  IRN AXH01154

  • 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)
  • [FCA CF] Functions requiring qualifications (since 17 Sep 2024)
  • [FCA CF] Client dealing (since 17 Sep 2024)
• Andrew James Padgett

  IRN AJP01328

  • CF30 Customer (27 Jun 2017 to 17 Feb 2018)
• Anne Christina Winter

  IRN ACW01053

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2022)
  • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
• Caroline Ann Keegan

  IRN CAK00003

  • 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] Functions requiring qualifications (since 18 Jan 2021)
  • [FCA CF] Client dealing (since 18 Jan 2021)
• Carolyn Helen Talkes-Nicholls

  IRN CHT00011

  • Responsible for Insurance Distribution (since 5 Jan 2022)
  • SMF3 Executive Director (since 5 Jan 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Jan 2022)
  • SMF16 Compliance Oversight (since 5 Jan 2022)
  • [FCA CF] Manager of certification employee (since 15 Jun 2021)
• Declan Gamble

  IRN DXG00425

  • [FCA CF] Functions requiring qualifications (22 Nov 2022 to 3 Sep 2024)
  • [FCA CF] Client dealing (22 Nov 2022 to 3 Sep 2024)
• Gemma Ann Murden

  IRN GAM01153

  • CF1 Director (AR) (29 Oct 2018 to 30 Apr 2019)
  • CF11 Money Laundering Reporting (4 Apr 2018 to 30 Apr 2019)
  • CF10 Compliance Oversight (4 Apr 2018 to 30 Apr 2019)
  • CF30 Customer (17 Feb 2015 to 30 Apr 2019)
  • CF1 Director (17 Feb 2015 to 30 Apr 2019)
• Jane Joanne Seed

  IRN JJC01179

  • CF30 Customer (2 Mar 2018 to 13 May 2019)
• Jonathan Nigel Page

  IRN JXP08020

  • CF1 Director (AR) (6 Nov 2018 to 27 Jan 2021)
  • CF30 Customer (6 Nov 2018 to 27 Jan 2021)
• Jonathan Thorpe

  IRN JXT00001

  • CF30 Customer (16 Dec 2016 to 29 Jan 2019)

• Neon Financial Planning Limited (no longer appointed)

  FRN 801067 · Appointed 8 Feb 2018 · Until 30 Sep 2023

No changes recorded yet.