Charles James Financial Planning Limited

• Principal Place of Business

  Thorpe House

  9 School Lane

  Dronfield

  Derbyshire

  S18 1RY

  UNITED KINGDOM

  Phone

  +441246296060

  Web

  https://www.charlesjames.com

• Complaints Contact

  Thorpe House

  9 School Lane

  Dronfield

  Derbyshire

  S18 1RY

  UNITED KINGDOM

  Phone

  +4401246296060

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 Hide 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 (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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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

  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

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Non-investment insurance contracts, Structured Deposits

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Credit Score Services

  Show 1 limitation Hide limitations

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

• Jack William Cohen

  IRN JXC03313

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 24 Jan 2025)
  • [FCA CF] Functions requiring qualifications (since 24 Jan 2025)
• Joanne Bunting

  IRN JXB00983

  • [FCA CF] Client dealing (26 Apr 2023 to 19 Jan 2024)
  • [FCA CF] Functions requiring qualifications (26 Apr 2023 to 19 Jan 2024)
• Jodie Sarah Thorpe

  IRN JST01051

  • Director of firm who is not a certification employee or a SMF manager (since 31 Aug 2021)
• John Darryl Marshall

  IRN JDM01189

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2023)
  • CF30 Customer (27 Oct 2009 to 8 Dec 2019)
• John Stuart Aspinall

  IRN JSA00003

  • CF21 Investment Adviser (2 Sep 2002 to 31 Jan 2007)
• Neil Geoffrey Smith

  IRN NGS00010

  • CF30 Customer (15 Oct 2009 to 11 Jan 2016)
  • CF1 Director (AR) (15 Oct 2009 to 11 Jan 2016)
• Robert James Thorpe

  IRN RJT00032

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 30 Nov 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Nov 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 30 Nov 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Ryan David Thickett

  IRN RDT01064

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Oct 2014 to 8 Dec 2019)
• Stephen Lyndon

  IRN SXL01476

  • CF30 Customer (1 Nov 2007 to 20 Nov 2009)
  • CF21 Investment Adviser (10 May 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Sep 2005 to 10 May 2006)
• Steven Unwin

  IRN SXU00009

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (30 Dec 2003 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 30 Dec 2003)

• Mortgage Results Ltd (no longer appointed)

  FRN 447531 · Appointed 27 Feb 2013 · Until 30 Jun 2014

• Harmony Wealth Management Ltd (no longer appointed)

  FRN 509643 · Appointed 12 Oct 2009 · Until 11 Mar 2016

No changes recorded yet.