DFM Financial Planning Limited

FRN: 815929
Companies House: 11480293
Last scraped: 2 hours ago

This firm operates as an appointed representative of OPUS Independent Financial Planning Limited. Its regulated business runs under their FCA authorisation, and they're legally responsible for what it does.

Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

Unit 6-7

Arden Court

Alcester

B49 6HN

UNITED KINGDOM

Phone

+4401213544034

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

David James Lewis Smith
IRN DJS00133
- (2)Employed By (since 20 Sep 2018)
Jonathan Ian Montgomery
IRN JIM01032
- (1)Employed By (29 Oct 2018 to 8 Dec 2019)
Sarah Nicholls
IRN SXN84702
- (1)Employed By (since 14 Mar 2023)
Simon Graham White
IRN SGW01079
- (2)Employed By (31 Aug 2018 to 13 Sep 2023)

Recent activity

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

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.