Browning Financial Planning Ltd

Date authorised
11 November 2013
Companies House
08448809
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Morar
    Brooklands Lane
    Torquay
    Devon
    TQ2 6PH
    UNITED KINGDOM
    Phone
    +4401803606766
    Web
    https://www.browningfinancialplanning.co.uk

  • Complaints Contact

    Morar
    Brooklands Lane
    Torquay
    Devon
    TQ2 6PH
    UNITED KINGDOM
    Phone
    +4401803606766

What this firm is allowed to do

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

  • P2P Lending Advice

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

  • 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, 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, 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 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, 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.

  • Benjamin Euan Morgan Browning

    IRN BXB00211

    • Director of firm who is not a certification employee or a SMF manager (since 20 Dec 2021)
  • Dominic Morgan Browning

    IRN DMB00041

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (11 Nov 2013 to 8 Dec 2019)
    • CF30 Customer (11 Nov 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Nov 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Nov 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Nov 2013 to 30 Sep 2018)
  • Julie Ann Browning

    IRN JAB01598

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (1 Sep 2016 to 8 Dec 2019)
  • Samuel Maxwell Browning

    IRN SXB00996

    • 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] Client dealing (since 27 Oct 2022)
    • [FCA CF] Functions requiring qualifications (since 27 Oct 2022)
    • Director of firm who is not a certification employee or a SMF manager (since 1 Jul 2022)

Recent activity

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

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