Charterhouse Financial Planning Limited

Date authorised
1 April 2013
Companies House
04934519
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Charterhouse Financial Planning
    Merlin Moor
    Dunston Business Village
    Dunston
    Stafford
    Staffordshire
    ST18 9AB
    UNITED KINGDOM
    Phone
    +4401902904600
    Web
    https://www.charterhousefp.com

  • Complaints Contact

    Charterhouse Financial Planning
    Merlin Moor
    Dunston Business Village
    Dunston
    Stafford
    Staffordshire
    ST18 9AB
    UNITED KINGDOM
    Phone
    +4401902623844

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 (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
    • · 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, 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.

  • 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.

  • Alan Laurence Cox

    IRN ALC00001

    • CF24 Pension Transfer Specialist (8 Nov 2006 to 1 May 2007)
    • CF21 Investment Adviser (28 Jul 2006 to 1 May 2007)
  • Bernard James King

    IRN BXK01087

    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (28 Jul 2006 to 1 Dec 2008)
    • CF21 Investment Adviser (28 Jul 2006 to 31 Oct 2007)
    • CF10 Compliance Oversight (28 Jul 2006 to 1 Dec 2008)
    • CF1 Director (28 Jul 2006 to 8 Dec 2019)
  • David Wyn Davies

    IRN DWD01041

    • CF22 Investment Adviser (Trainee) (23 Jan 2007 to 16 Apr 2007)
  • James Stephen Hancher

    IRN JSH01125

    • CF30 Customer (28 Mar 2008 to 1 May 2009)
  • Jennifer Helene Carpenter

    IRN JXC00167

    • CF21 Investment Adviser (28 Jul 2006 to 28 Jul 2006)
  • Lee McManus

    IRN LXM01471

    • CF30 Customer (14 Jul 2008 to 16 Dec 2008)
    • CF1 Director (AR) (14 Jul 2008 to 16 Dec 2008)
  • Lisa Mia Luck

    IRN LML01029

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF8 Apportionment and Oversight (1 Dec 2008 to 31 Mar 2009)
    • CF10 Compliance Oversight (27 Nov 2008 to 8 Dec 2019)
    • Responsible for Insurance Mediation (28 Jul 2006 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (28 Jul 2006 to 8 Dec 2019)
    • CF1 Director (28 Jul 2006 to 8 Dec 2019)
  • Mark David Allder

    IRN MDA00017

    • CF30 Customer (1 Nov 2007 to 21 Dec 2007)
    • CF21 Investment Adviser (28 Jul 2006 to 31 Oct 2007)
  • Michael John Bradley

    IRN MJB01637

    • CF30 Customer (14 Jul 2008 to 16 Dec 2008)
    • CF1 Director (AR) (14 Jul 2008 to 16 Dec 2008)
  • Michael Kolakovic

    IRN MXK00026

    • CF30 Customer (1 Nov 2007 to 28 Dec 2007)
    • CF21 Investment Adviser (28 Jul 2006 to 31 Oct 2007)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • 3D Financial Ltd (no longer appointed)

    FRN 482886 · Appointed 7 Jul 2008 · Until 16 Dec 2008

Recent activity

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

No changes recorded yet.