Essex Financial Planners UK Ltd

• Principal Place of Business

  Essex Financial Planners

  Bank House

  26 Hamlet Court Road

  Westcliff-On-Sea

  Southend-On-Sea

  SS0 7LX

  UNITED KINGDOM

  Phone

  +4401702347734

  Web

  https://www.essexfp.com

• Complaints Contact

  Essex Financial Planners

  Bank House

  26 Hamlet Court Road

  Westcliff-On-Sea

  Southend-On-Sea

  SS0 7LX

  UNITED KINGDOM

  Phone

  +441702347734

• Buy-to-Let Mortgage Admin

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · 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, 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.

• Amanda Porter

  IRN AXW00155

  • CF30 Customer (10 May 2011 to 18 Jan 2016)
• Darren Edward Ford

  IRN DXF00089

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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 1 Dec 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2023)
  • [FCA CF] Proprietary trader (1 Dec 2023 to 7 Dec 2023)
• Diane Nazar

  IRN DXN00056

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
  • [FCA CF] CASS oversight function (since 1 Dec 2020)
  • [FCA CF] Benchmark submission and administration (since 1 Dec 2020)
• Mark James O'Dowd

  IRN MJO00021

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (7 Feb 2007 to 31 Oct 2007)
• Mark O'Dowd

  IRN MXO00156

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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 8 Dec 2021)
  • [FCA CF] Functions requiring qualifications (since 8 Dec 2021)
• Mark Wesley Brian Pentelow

  IRN MWP00014

  • CF30 Customer (1 Nov 2007 to 12 Jan 2009)
  • CF21 Investment Adviser (17 Oct 2006 to 31 Oct 2007)
• Martin Neil Blagrove

  IRN MNB01054

  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 31 Dec 2022)
  • [FCA CF] Client dealing (1 Jan 2020 to 31 Dec 2022)
  • CF30 Customer (22 Apr 2014 to 8 Dec 2019)
• Max Waterman

  IRN MXW00515

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 4 Oct 2022)
  • [FCA CF] Functions requiring qualifications (since 25 Jan 2022)
• Max Waterman

  IRN MXW00261

  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 4 Oct 2022)
• Paul O'Connor

  IRN PXO00018

  • CF30 Customer (1 Nov 2007 to 27 Feb 2009)
  • CF21 Investment Adviser (17 Oct 2006 to 31 Oct 2007)

No changes recorded yet.