C. Alexander Financial Planning Ltd

• Principal Place of Business

  Alexander House

  223 Perry Road

  Sherwood

  Nottingham

  Nottinghamshire

  NG5 1GN

  UNITED KINGDOM

  Phone

  +441159693400

  Web

  https://www.calexander.co.uk

• Complaints Contact

  Alexander House

  223 Perry Road

  Sherwood

  Nottingham

  Nottinghamshire

  NG5 1GN

  UNITED KINGDOM

  Phone

  +441159693400

• 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

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  • · 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.
  • · 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 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

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  • · 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

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  • · 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

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  • · 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.

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

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  • · Limited to not broking credit for investment purposes

• Debt Advice

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  • · 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”.

• 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

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  • · 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

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

• David Philip Picker

  IRN DPP00004

  • [FCA CF] Client dealing (2 Mar 2021 to 16 Dec 2022)
  • [FCA CF] Functions requiring qualifications (2 Mar 2021 to 16 Dec 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Dec 2022)
  • SMF3 Executive Director (9 Dec 2019 to 29 Dec 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 29 Dec 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 29 Dec 2022)
  • Responsibility for MCD Intermediation (2 Sep 2016 to 29 Dec 2022)
  • CF10 Compliance Oversight (1 Jul 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jul 2014 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2014 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Jul 2014 to 30 Sep 2018)
  • CF1 Director (1 Jul 2014 to 8 Dec 2019)
• Margaret Jean Picker

  IRN MJP00026

  • CF1 Director (1 Jul 2014 to 1 Sep 2014)
• Samantha Brown

  IRN STB01065

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Nov 2022)
  • Responsible for Insurance Distribution (since 30 Nov 2022)
  • SMF16 Compliance Oversight (since 30 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 2 Mar 2021)
  • [FCA CF] Client dealing (since 2 Mar 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (2 Sep 2014 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2014 to 8 Dec 2019)

No changes recorded yet.