Charnwood Financial Planning LLP

• Principal Place of Business

  45 The Banks

  Barrow Upon Soar

  Loughborough

  Leicestershire

  LE12 8NL

  UNITED KINGDOM

  Phone

  +4407802450674

• Complaints Contact

  45 The Banks

  Barrow Upon Soar

  Loughborough

  Leicestershire

  LE12 8NL

  UNITED KINGDOM

  Phone

  +4407802450674

• 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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  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For 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

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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.

• 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• Arranges Investments

  For 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

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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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For 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 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.

• . Keith Bennett Financial Services Limited

  IRN XXK01053

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (18 Apr 2012 to 8 Dec 2019)
• . RDS Financial Services Limited

  IRN XXR01092

  • SMF27 Partner (9 Dec 2019 to 10 Mar 2025)
  • CF4 Partner (18 Apr 2012 to 8 Dec 2019)
• Keith Leslie Bennett

  IRN KLB00013

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10 Compliance Oversight (18 Apr 2012 to 8 Dec 2019)
  • Responsible for Insurance Mediation (18 Apr 2012 to 30 Sep 2018)
  • CF30 Customer (18 Apr 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (18 Apr 2012 to 8 Dec 2019)
• Kenneth Bell

  IRN KXB00010

  • SMF27 Partner (9 Dec 2019 to 10 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Mar 2025)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 10 Mar 2025)
  • CF30 Customer (18 Apr 2012 to 8 Dec 2019)
  • CF4 Partner (18 Apr 2012 to 8 Dec 2019)
• Robert Douglas Smith

  IRN RDS00023

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Mar 2025)
  • CF30 Customer (18 Apr 2012 to 8 Dec 2019)
• Sean Roy Matthews

  IRN SRM00041

  • 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)
  • CF30 Customer (5 Aug 2016 to 8 Dec 2019)

No changes recorded yet.