Greenwood Financial Planning LLP

• Principal Place of Business

  The Barn

  Audley End Business Centre

  Wendens Ambo

  Saffron Walden

  Essex

  CB11 4JL

  UNITED KINGDOM

  Phone

  +441799543222

  Web

  https://www.greenwoodfinancialplanning.co.uk

• Complaints Contact

  The Barn

  Audley End Business Centre

  Wendens Ambo

  Saffron Walden

  Essex

  CB11 4JL

  UNITED KINGDOM

  Phone

  +441799543222

• 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.

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling which is provided in connection with investment advice
  • · This permission is limited to debt counselling with no debt management activity

• 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.

• David Malcolm Rule

  IRN DMR01135

  • CF30 Customer (1 Oct 2013 to 7 May 2015)
• Ian Nicholas James Sibbald

  IRN INS00003

  • CF30 Customer (1 Sep 2012 to 6 Jul 2013)
• James Worthington

  IRN JXW00760

  • [FCA CF] Functions requiring qualifications (5 Sep 2022 to 5 Sep 2025)
  • [FCA CF] Client dealing (5 Sep 2022 to 5 Sep 2025)
  • Appointed representative dealing with clients for which they require qualification (5 Sep 2022 to 5 Sep 2025)
• Jonathan Charles Blain

  IRN JCB00031

  • SMF27 Partner (since 4 Nov 2024)
• Michael John Passfield

  IRN MJP00039

  • 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)
  • Responsible for Insurance Distribution (since 27 Mar 2026)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (AR) (since 13 Oct 2010)
  • CF30 Customer (since 31 Aug 2010)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 9 Apr 2025)
  • CF4 Partner (31 Aug 2010 to 8 Dec 2019)
  • CF29 Significant management (31 Aug 2010 to 24 Jul 2014)
• Nicola Horner

  IRN NXH01362

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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] Functions requiring qualifications (since 7 Jan 2025)
  • [FCA CF] Client dealing (since 7 Jan 2025)
• Paul James Tarran

  IRN PJT01057

  • SMF27 Partner (since 21 Nov 2024)
• Richard Edward Page

  IRN RXP00447

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 31 Oct 2024)
  • SMF16 Compliance Oversight (since 31 Oct 2024)
• Richard William Mumford

  IRN RWM00001

  • 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)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 9 Apr 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Nov 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Nov 2024)
  • SMF27 Partner (9 Dec 2019 to 31 Mar 2026)
  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Mar 2026)
  • CF1 Director (AR) (1 Mar 2011 to 13 Sep 2024)
  • CF11 Money Laundering Reporting (31 Aug 2010 to 8 Dec 2019)
  • CF30 Customer (31 Aug 2010 to 13 Sep 2024)
  • CF4 Partner (31 Aug 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (31 Aug 2010 to 30 Sep 2018)
  • CF10 Compliance Oversight (31 Aug 2010 to 8 Dec 2019)
• Toby William Lumsden

  IRN TWL00006

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2022)
  • CF30 Customer (1 Aug 2018 to 1 Sep 2022)

• Greenwood Employee Benefits Ltd (no longer appointed)

  FRN 668348 · Appointed 27 Jan 2015 · Until 30 Sep 2024

• Saffron Financial Planning Ltd (no longer appointed)

  FRN 609523 · Appointed 1 Nov 2013 · Until 9 Apr 2014

• THP Financial Services Limited (no longer appointed)

  FRN 193466 · Appointed 3 Sep 2010 · Until 9 Apr 2025

No changes recorded yet.