Clarke Financial Planning Ltd

• Principal Place of Business

  34a New Row

  Coleraine

  County Londonderry

  BT52 1AF

  UNITED KINGDOM

  Phone

  +442870356971

  Web

  https://www.clarkefinancialplanning.co.uk

• Complaints Contact

  34a New Row

  Coleraine

  County Londonderry

  BT52 1AF

  UNITED KINGDOM

  Phone

  +442870356971

• P2P Lending Advice

  For Professional, Retail (Investment)

• 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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  • · 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.

• 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), Rolling spot forex contract, 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.

• 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

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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.

• 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”.

• 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.

• Alan Clarke

  IRN AXC00239

  • 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 21 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
• Catherine Nora Maureen Louise Holmes

  IRN CNH01027

  • 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)
  • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
• Michael John Clarke

  IRN MXC15675

  • Responsibility for MCD Intermediation (5 Jun 2020 to 5 Jun 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 5 Jun 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 5 Jun 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Jun 2023)
  • CF10 Compliance Oversight (19 Aug 2019 to 8 Dec 2019)
  • CF30 Customer (5 Jun 2019 to 8 Dec 2019)
• Stephen Clarke

  IRN SXC00048

  • 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)
  • SMF16 Compliance Oversight (since 31 Jul 2023)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsible for Insurance Mediation (3 Apr 2018 to 30 Sep 2018)
  • CF30 Customer (3 Apr 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Apr 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Apr 2018 to 5 Jun 2019)
  • CF1 Director (3 Apr 2018 to 8 Dec 2019)
• William Scott Lorimer

  IRN WXL15674

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Dec 2021)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)

No changes recorded yet.