Carleton Financial Planning Limited

Date authorised
1 April 2013
Companies House
NI007336
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Carleton Financial Planning Ltd
    Hawarden House
    163 Upper Newtownards Road
    Belfast
    Northern Ireland
    BT4 3HZ
    UNITED KINGDOM
    Phone
    +4402890650374
    Web
    https://www.carletonfp.co.uk

  • Complaints Contact

    Carleton Financial Planning Ltd
    Hawarden House
    163 Upper Newtownards Road
    Belfast
    Northern Ireland
    BT4 3HZ
    UNITED KINGDOM
    Phone
    +4402890650374

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)

  • 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 (contractually based)" is limited to 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, 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.

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding the administration of debt management plans In this limitation debt management plans are 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

    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.

  • Alexander Gordon McKilligan

    IRN AXM20060

    • 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
    • SMF3 Executive Director (since 4 Oct 2023)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (10 Sep 2019 to 8 Dec 2019)
  • Conor Rollins

    IRN CXR01215

    • CF30 Customer (1 Nov 2012 to 2 Mar 2017)
  • David Rush

    IRN DXR01179

    • CF30 Customer (1 Nov 2007 to 21 Dec 2015)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • John Anthony Simpson

    IRN JAS01328

    • CF30 Customer (1 Nov 2007 to 15 Nov 2010)
    • CF24 Pension Transfer Specialist (2 Sep 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (2 Sep 2004 to 31 Oct 2007)
  • John Foreman Carleton

    IRN JFC00005

    • CF30 Customer (1 Nov 2007 to 21 Dec 2012)
    • CF10 Compliance Oversight (1 Dec 2001 to 21 Dec 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 21 Dec 2012)
    • CF1 Director (1 Dec 2001 to 6 Apr 2012)
  • John Stephen Casey

    IRN JSC01088

    • CF24 Pension Transfer Specialist (2 Oct 2002 to 3 Oct 2003)
    • CF21 Investment Adviser (9 May 2002 to 3 Oct 2003)
  • John William Bamber

    IRN JWB00043

    • 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
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (AR) (since 24 Feb 2016)
    • CF30 Customer (since 5 Aug 2013)
    • CF1 Director (4 Nov 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Nov 2019 to 8 Dec 2019)
  • Marion Elizabeth Carleton

    IRN MEC01060

    • CF1 Director (1 Dec 2001 to 6 Apr 2012)
  • Patrick Charles Kenneth Robinson

    IRN PCR01041

    • 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] Manager of certification employee (since 25 Nov 2021)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (AR) (since 11 Dec 2017)
    • CF30 Customer (since 1 Nov 2007)
    • CF10 Compliance Oversight (31 Oct 2017 to 8 Dec 2019)
    • CF1 Director (10 May 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Sep 2004 to 31 Oct 2007)
  • Philip John Carvill

    IRN PJC00017

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Nov 2021)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 25 Nov 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 22 Feb 2022)
    • CF1 Director (AR) (11 Dec 2017 to 25 Nov 2021)
    • CF1 Director (16 Apr 2012 to 9 Sep 2019)
    • CF10 Compliance Oversight (16 Apr 2012 to 19 Sep 2018)
    • CF30 Customer (16 Apr 2012 to 25 Nov 2021)
    • CF11 Money Laundering Reporting (16 Apr 2012 to 4 Nov 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.