CITY FINANCIAL PLANNING LIMITED

• Principal Place of Business

  3 Princes Buildings

  Bath

  Somerset

  BA1 2ED

  UNITED KINGDOM

  Phone

  +4401225314999

  Web

  https://www.cityfinancialplanning.co.uk

• Complaints Contact

  Advanta Wealth Ltd

  Ailsa Court

  121 West Regent Street

  Glasgow

  Glasgow City

  G2 2SD

  UNITED KINGDOM

  Phone

  +4403450340200

• 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

  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• 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”.

• Equity Release Setup

  For Customer, Home reversion plans

• 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

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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

  Show 1 limitation Hide limitations

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

• Kevin James Hill

  IRN KJH01074

  • CF21 Investment Adviser (7 Mar 2006 to 22 Mar 2007)
  • CF22 Investment Adviser (Trainee) (3 Jan 2006 to 7 Mar 2006)
• Kristian Doggrell

  IRN KAD01071

  • CF30 Customer (17 Aug 2017 to 8 Jun 2018)
• Kypros Anthony Harrison

  IRN KAH00007

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 12 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 12 Dec 2019)
  • [FCA CF] Significant management (12 Dec 2019 to 1 Oct 2025)
  • SMF3 Executive Director (9 Dec 2019 to 15 Oct 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
  • CF1 Director (3 Jan 2006 to 8 Dec 2019)
• Lindsey Jacqueline Jones

  IRN LJJ01031

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 4 Dec 2020)
  • SMF3 Executive Director (9 Dec 2019 to 4 Dec 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 4 Dec 2020)
  • Responsible for Insurance Distribution (10 Jun 2019 to 4 Dec 2020)
  • CF1 Director (10 Jun 2019 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (10 Jun 2019 to 4 Dec 2020)
  • CF11 Money Laundering Reporting (25 Mar 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (25 Mar 2019 to 8 Dec 2019)
• Lisa Holden

  IRN LXH00094

  • SMF16 Compliance Oversight (19 Feb 2021 to 1 Mar 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (19 Feb 2021 to 1 Mar 2021)
• Louisa Emily Williams

  IRN LET01015

  • Responsibility for MCD Intermediation (22 Jul 2021 to 19 Dec 2025)
  • Responsible for Insurance Distribution (22 Jul 2021 to 19 Dec 2025)
  • SMF16 Compliance Oversight (22 Jul 2021 to 19 Dec 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (22 Jul 2021 to 19 Dec 2025)
  • SMF3 Executive Director (22 Jul 2021 to 15 Oct 2024)
• Mark Jonathan Jeffs

  IRN MJJ01118

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2025)
  • CF30 Customer (17 Jun 2019 to 8 Dec 2019)
• Mark Richard Gould

  IRN MXG00160

  • CF10 Compliance Oversight (3 Jan 2006 to 30 Aug 2011)
  • CF11 Money Laundering Reporting (3 Jan 2006 to 30 Aug 2011)
• Mark Robert Pearson

  IRN MRP00008

  • SMF3 Executive Director (since 15 Jan 2025)
• Mark William Brill

  IRN MWB00028

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (7 Mar 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (3 Jan 2006 to 7 Mar 2006)

• Bath & City Financial Ltd (no longer appointed)

  FRN 473851 · Appointed 15 Oct 2007 · Until 15 Dec 2014

No changes recorded yet.