Crawford Financial Planning Limited

• Principal Place of Business

  Fourth Floor

  Merchants Court

  2-12 Lord Street

  Liverpool

  Merseyside

  L2 1TS

  UNITED KINGDOM

  Phone

  +4401513054626

• Complaints Contact

  Fourth Floor

  Merchants Court

  2-12 Lord Street

  Liverpool

  L2 1TS

  UNITED KINGDOM

  Phone

  +4401513054626

• 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

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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: 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 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

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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.

• 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.

• Alistair Nutting

  IRN AXN00355

  • 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 5 Jan 2024)
  • [FCA CF] Client dealing (since 5 Jan 2024)
• Kelly Ashworth

  IRN KXA01880

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Jan 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Jan 2024)
  • CF30 Customer (15 Feb 2018 to 8 Dec 2019)
• Nicholas Simon Mark Shaw

  IRN NSS01027

  • 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 14 Nov 2025)
  • [FCA CF] Functions requiring qualifications (since 14 Nov 2025)
• Roy Frederick Douglas Crawford

  IRN RFC00010

  • 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 2022)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (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 (11 Jan 2018 to 8 Dec 2019)
  • Responsible for Insurance Mediation (11 Jan 2018 to 30 Sep 2018)
  • CF30 Customer (11 Jan 2018 to 8 Dec 2019)
  • CF1 Director (11 Jan 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (11 Jan 2018 to 8 Dec 2019)
• Steven Cryer

  IRN SXC03086

  • CF1 Director (AR) (21 Aug 2018 to 28 Jan 2019)

• Pembroke Wealth Management Limited (no longer appointed)

  FRN 816228 · Appointed 13 Aug 2018 · Until 8 Feb 2019

No changes recorded yet.