EAST ANGLIAN FINANCIAL PLANNING LTD

• Principal Place of Business

  Lodge Park Business Centre, Lodge Lane

  Langham

  Colchester

  Essex

  CO4 5NE

  UNITED KINGDOM

  Phone

  +4403332072151

  Web

  https://www.eafp.co.uk

• Complaints Contact

  Lodge Park Business Centre, Lodge Lane

  Langham

  Colchester

  Essex

  CO4 5NE

  UNITED KINGDOM

  Phone

  +4403332072151

• 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.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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.

• Julie Dyer

  IRN JXD02551

  • SMF3 Executive Director (9 Dec 2019 to 13 Dec 2022)
  • CF1 Director (7 Aug 2018 to 8 Dec 2019)
• Keith Gordon Smith

  IRN KGS00004

  • Responsible for Insurance Distribution (1 Oct 2018 to 8 Nov 2018)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 8 Nov 2018)
  • Responsible for Insurance Mediation (21 Oct 2013 to 30 Sep 2018)
  • CF30 Customer (21 Oct 2013 to 1 Mar 2019)
  • CF11 Money Laundering Reporting (21 Oct 2013 to 8 Nov 2018)
  • CF10 Compliance Oversight (21 Oct 2013 to 8 Nov 2018)
  • CF1 Director (21 Oct 2013 to 1 Mar 2019)
• Kurt Thomas Walsh

  IRN KTW00018

  • Responsible for Insurance Distribution (since 8 Jun 2023)
  • SMF16 Compliance Oversight (since 8 Jun 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Jun 2023)
  • SMF3 Executive Director (since 8 Jun 2023)
• Laura Blyth

  IRN LXB01975

  • CF30 Customer (9 Nov 2018 to 8 Dec 2019)
• Matthew Robert Merchant

  IRN MXM09296

  • 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)
  • SMF3 Executive Director (since 20 Jan 2023)
  • [FCA CF] Client dealing (since 13 Dec 2022)
  • [FCA CF] Functions requiring qualifications (since 13 Dec 2022)
• Neil Gordon Hewitt

  IRN NGH00003

  • 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
  • SMF3 Executive Director (since 23 Jan 2023)
  • [FCA CF] Client dealing (since 13 Dec 2022)
  • [FCA CF] Functions requiring qualifications (since 13 Dec 2022)
• Rhyanne Patricia Sefton

  IRN RXS00234

  • 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 Dec 2024)
  • [FCA CF] Client dealing (since 19 Dec 2024)
• Thomas Edward Crowther

  IRN TXC08477

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Apr 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Apr 2022)
• Toni Vincent-Panich

  IRN TXV01145

  • SMF3 Executive Director (9 Dec 2019 to 30 Nov 2022)
  • CF1 Director (7 Aug 2018 to 8 Dec 2019)

No changes recorded yet.