Dragon Financial Planning Ltd

• Principal Place of Business

  Finance House

  218 Stow Hill

  Newport

  Gwent

  NP20 4HA

  UNITED KINGDOM

  Phone

  +441633495393

  Web

  https://www.dragonfinancialplanning.co.uk

• Complaints Contact

  Finance House

  218 Stow Hill

  Newport

  Gwent

  NP20 4HA

  UNITED KINGDOM

  Phone

  +441633495393

• 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.

• 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, 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

  Show 1 limitation Hide limitations

  • · 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, 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

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Debt Advice

  Show 1 limitation Hide limitations

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

• 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, 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.

• Basic Pension Advice

  For Professional, Retail (Investment), Stakeholder products

• Dawn Michelle Attewell

  IRN DXA80414

  • SMF3 Executive Director (19 May 2020 to 8 Jan 2025)
• Dylan John Morgan

  IRN DXM00639

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF3 Executive Director (since 4 Dec 2024)
  • Responsibility for MCD Intermediation (since 4 Dec 2024)
  • [FCA CF] Functions requiring qualifications (since 2 Aug 2022)
  • [FCA CF] Client dealing (since 2 Aug 2022)
  • Director of firm who is not a certification employee or a SMF manager (since 1 Aug 2020)
• Samuel James Attewell

  IRN SXA80415

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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
  • Responsibility for MCD Intermediation (since 6 Dec 2024)
  • SMF16 Compliance Oversight (since 6 Dec 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Dec 2024)
  • SMF3 Executive Director (since 6 Dec 2024)
  • [FCA CF] Functions requiring qualifications (since 2 Aug 2022)
  • [FCA CF] Client dealing (since 2 Aug 2022)
  • SMF3 Executive Director (19 May 2020 to 1 Aug 2022)
• Warren James Attewell

  IRN WJA00007

  • [FCA CF] Manager of certification employee (19 May 2020 to 10 Feb 2025)
  • Responsibility for MCD Intermediation (19 May 2020 to 10 Feb 2025)
  • Responsible for Insurance Distribution (19 May 2020 to 10 Feb 2025)
  • SMF16 Compliance Oversight (19 May 2020 to 6 Jan 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (19 May 2020 to 6 Jan 2025)
  • SMF3 Executive Director (19 May 2020 to 10 Feb 2025)
  • [FCA CF] Client dealing (19 May 2020 to 10 Feb 2025)
  • [FCA CF] Functions requiring qualifications (19 May 2020 to 10 Feb 2025)

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