E L Watson Financial Planning Limited

• Principal Place of Business

  E L Watson Financial Planning Ltd

  Victoria House 14a

  Bradford Road

  Guiseley

  Leeds

  LS20 8NH

  UNITED KINGDOM

  Phone

  +4401943871638

  Web

  https://www.watsonfp.com

• Complaints Contact

  E L Watson Financial Planning Ltd

  Victoria House 14a

  Bradford Road

  Guiseley

  Leeds

  LS20 8NH

  UNITED KINGDOM

  Phone

  +4401943871638

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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

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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

• Consumer Loans

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  • · This permission is limited to lending which the firm carries on as a supplier and (i) no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement; (ii) the regulated credit agreement is not a hire-purchase agreement or a conditional sale agreement; and (iii) unless the firm is a not-for profit body, the obligation of the borrower to repay is not secured, and is not to be secured, by a legal mortgage on land

• Loan Servicing

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  • · This permission is limited to exercising the rights and duties of loans which the firm carries on as a supplier - and (i) no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement;(ii) the regulated credit agreement is not a hire-purchase agreement or a conditional sale agreement; and (iii) unless the firm is a not-for profit body, the obligation of the borrower to repay is not secured, and is not to be secured, by a legal mortgage on land

• 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.

• Bryan Johnston

  IRN BXJ00018

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Jul 2019 to 8 Dec 2019)
• Darren T Briggs

  IRN DTB01075

  • [FCA CF] Client dealing (9 Dec 2019 to 27 Sep 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Sep 2023)
  • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
• Edward Cannon

  IRN EXC34359

  • 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 13 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Edward Lloyd Watson

  IRN ELW00007

  • [FCA CF] Client dealing (9 Dec 2019 to 5 Mar 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Mar 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Jan 2019)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 31 Jan 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (22 Jul 2005 to 31 Mar 2009)
  • CF21 Investment Adviser (22 Jul 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (22 Jul 2005 to 31 Jan 2019)
  • CF10 Compliance Oversight (22 Jul 2005 to 31 Jan 2019)
  • CF1 Director (22 Jul 2005 to 31 Jan 2019)
  • Responsible for Insurance Mediation (22 Jul 2005 to 30 Sep 2018)
• Ian David Martin

  IRN IDM00029

  • CF1 Director (30 Aug 2005 to 30 Apr 2016)
• James G Green

  IRN JGG00004

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Feb 2012 to 8 Dec 2019)
• John Harrison Watson

  IRN JHW01089

  • CF1 Director (22 Jul 2005 to 17 May 2018)
• Jonathan Darnton Wade

  IRN JDW01116

  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 13 Mar 2019)
  • CF1 Director (13 Mar 2019 to 8 Dec 2019)
  • CF30 Customer (13 Mar 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (13 Mar 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Mar 2019 to 8 Dec 2019)
• Liam Peter Moore

  IRN LXM00408

  • 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 21 Mar 2022)
  • [FCA CF] Client dealing (since 21 Mar 2022)
• Lynda S Worsley

  IRN LSW01021

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (27 Jun 2019 to 8 Dec 2019)

No changes recorded yet.