Essex Financial Planners UK Ltd

Date authorised
1 April 2013
Companies House
04343938
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 2 limitations
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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

    Show 1 limitation
    • · 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
    • · 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.

Approved individuals

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

  • Paul Richard Davis

    IRN PRD00024

    • CF30 Customer (1 Nov 2007 to 2 Feb 2009)
    • CF1 Director (15 Feb 2007 to 2 Feb 2009)
    • CF10 Compliance Oversight (15 Feb 2007 to 2 Feb 2009)
    • CF11 Money Laundering Reporting (15 Feb 2007 to 2 Feb 2009)
    • CF8 Apportionment and Oversight (15 Feb 2007 to 2 Feb 2009)
    • CF21 Investment Adviser (17 Oct 2006 to 31 Oct 2007)
  • Raymond Waterman

    IRN RXW00109

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] CASS oversight function (since 1 Jan 2020)
    • [FCA CF] Client dealing (since 1 Jan 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • [FCA CF] Significant management (1 Jan 2020 to 7 Dec 2023)
    • CF10 Compliance Oversight (10 Feb 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (10 Feb 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (15 Sep 2006 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (15 Sep 2006 to 31 Mar 2009)
    • CF21 Investment Adviser (15 Sep 2006 to 31 Oct 2007)
    • CF1 Director (15 Sep 2006 to 8 Dec 2019)
  • Roger Clive Miller

    IRN RCM00023

    • CF30 Customer (1 Nov 2007 to 2 Feb 2009)
    • CF21 Investment Adviser (17 Oct 2006 to 31 Oct 2007)
  • Saghir Ahmed

    IRN SXA00019

    • CF21 Investment Adviser (17 Oct 2006 to 8 Aug 2007)
  • Stephen Gerald Mark Davis

    IRN SGD00011

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

Recent activity

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

No changes recorded yet.