Financial Professionals (NI) Ltd

• Principal Place of Business

  36 Langley Hall

  Newtownabbey

  County Antrim

  BT37 0FB

  UNITED KINGDOM

  Phone

  +4402890364477

  Web

  https://www.fpni.co.uk

• Complaints Contact

  36 Langley Hall

  Newtownabbey

  County Antrim

  BT37 0FB

  UNITED KINGDOM

  Phone

  +4402890364477

• 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

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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.

• Buy-to-Let Start Date

• Buy-to-Let Status

• 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.

• Anthony Alfred Pereira

  IRN AAP01051

  • CF30 Customer (5 Jul 2010 to 15 Aug 2011)
  • CF1 Director (5 Jul 2010 to 15 Aug 2011)
• Ian Williams Whiteside

  IRN IWW01018

  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 May 2024)
  • SMF3 Executive Director (since 1 Dec 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Sep 2011 to 8 Dec 2019)
• Michael Anthony Kennedy

  IRN MAK01150

  • 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
  • SMF16 Compliance Oversight (since 18 Jul 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF30 Customer (5 Jul 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (5 Jul 2010 to 8 Dec 2019)
  • CF1 Director (5 Jul 2010 to 8 Dec 2019)
• William Scott McNeice

  IRN WSM00003

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 25 Jul 2022)
  • SMF3 Executive Director (9 Dec 2019 to 25 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 25 Jul 2022)
  • Responsibility for MCD Intermediation (20 Mar 2018 to 28 Apr 2020)
  • CF10 Compliance Oversight (5 Jul 2010 to 8 Dec 2019)
  • CF30 Customer (5 Jul 2010 to 8 Dec 2019)
  • CF1 Director (5 Jul 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (5 Jul 2010 to 30 Sep 2018)

No changes recorded yet.