Croft & Oakes Financial Planners Limited

• Principal Place of Business

  Suite 7

  Business Development Centre, Stafford Park 4

  Telford

  Shropshire

  TF3 3BA

  UNITED KINGDOM

  Phone

  +441952897377

  Web

  https://www.croftandoakes.co.uk

• Complaints Contact

  Suite 7

  Business Development Centre, Stafford Park 4

  Telford

  Shropshire

  TF3 3BA

  UNITED KINGDOM

  Phone

  +447584088345

• 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.

• 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

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

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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.

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management 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

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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.

• Alex Nigel Bound

  IRN ANB01039

  • CF30 Customer (1 Feb 2018 to 31 Oct 2019)
• Christopher Mark Oakes

  IRN CMO00014

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (23 Jun 2016 to 8 Dec 2019)
  • CF30 Customer (23 Jun 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (23 Jun 2016 to 8 Dec 2019)
• Garry Owens

  IRN GXO00032

  • 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 16 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 16 Jul 2021)
• Jessica Anne Shukie

  IRN JAS01473

  • 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 2 Feb 2022)
  • [FCA CF] Functions requiring qualifications (since 2 Feb 2022)
• Keith Michael Croft

  IRN KXC00045

  • 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 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsible for Insurance Mediation (23 Jun 2016 to 30 Sep 2018)
  • CF30 Customer (23 Jun 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (23 Jun 2016 to 8 Dec 2019)
  • CF1 Director (23 Jun 2016 to 8 Dec 2019)
• Marc Anthony Derbyshire

  IRN MAD00032

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (27 Apr 2018 to 8 Dec 2019)
• Marie Therese Francis Yeo

  IRN MTJ00005

  • [FCA CF] Functions requiring qualifications (8 May 2024 to 28 Jan 2025)
• Maureen Anne Hoole

  IRN MAH01349

  • 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 19 Oct 2022)
  • [FCA CF] Client dealing (since 19 Oct 2022)
• Naomi Kirk

  IRN NXB19519

  • [FCA CF] Manager of certification employee (since 15 Oct 2025)
• Simon Theodore Peter Bartlett

  IRN STB00023

  • [FCA CF] Functions requiring qualifications (4 May 2021 to 21 Jan 2025)
  • [FCA CF] Client dealing (1 May 2021 to 21 Jan 2025)

No changes recorded yet.