Fiveways Financial Planning Limited

• Principal Place of Business

  504 Park Way

  Worle

  Weston-super-Mare

  Avon

  BS22 6WA

  UNITED KINGDOM

  Phone

  +4401934511511

  Web

  https://www.fivewaysfp.co.uk

• Complaints Contact

  504 Park Way

  Worle

  Weston-super-Mare

  Avon

  BS22 6WA

  UNITED KINGDOM

  Phone

  +4401934511511

• 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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  • · 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
  • · This permission is limited to debt counselling which is provided in connection with investment advice

• 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.

• Andrew William Stephens

  IRN AWS01106

  • CF30 Customer (11 Nov 2014 to 2 Jun 2017)
• Charles William Robert Lane

  IRN CWL01036

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (12 May 2014 to 11 Feb 2022)
• Christopher Graham Gilchrist

  IRN CGG01013

  • Director of firm who is not a certification employee or a SMF manager (1 Apr 2021 to 1 Apr 2023)
  • SMF3 Executive Director (9 Dec 2019 to 1 Apr 2021)
  • [FCA CF] Significant management (9 Dec 2019 to 1 Apr 2021)
  • CF1 Director (12 May 2014 to 8 Dec 2019)
• Hannah Kate Newbery

  IRN HKN01003

  • 11. Pension transfer specialist
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (11 May 2017 to 11 Feb 2022)
• Ian William Evans

  IRN IWE00002

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Nov 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Nov 2025)
  • CF1 Director (12 May 2014 to 19 Jan 2016)
  • CF30 Customer (12 May 2014 to 11 Feb 2022)
• James Edward Bloodworth

  IRN JEB01216

  • 11. Pension transfer specialist
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Apr 2023)
  • [FCA CF] Manager of certification employee (since 1 Apr 2023)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2021)
  • CF30 Customer (12 May 2014 to 11 Feb 2022)
  • CF1 Director (12 May 2014 to 8 Dec 2019)
• John Stephen Lyon

  IRN JSL00018

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (12 May 2017 to 11 Feb 2022)
• Jonathan William Lawson

  IRN JWL01077

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Responsible for Insurance Distribution (since 25 Apr 2023)
  • SMF16 Compliance Oversight (since 25 Apr 2023)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2021)
  • CF30 Customer (12 May 2014 to 8 Dec 2019)
  • CF1 Director (12 May 2014 to 8 Dec 2019)
• Nicholas Craig Comport

  IRN NXC00434

  • 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 26 Jul 2024)
  • [FCA CF] Client dealing (since 26 Jul 2024)
• Richard Charles Forrest

  IRN RCF00010

  • 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
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (12 May 2014 to 11 Feb 2022)

• FiveWays Wealth Management Limited (no longer appointed)

  FRN 794958 · Appointed 24 Nov 2017 · Until 1 Mar 2022

No changes recorded yet.