Date authorised
1 April 2013
Companies House
01593283
Last scraped
20 hours ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Southbridge House
    Southbridge Place
    Croydon
    CR0 4HA
    UNITED KINGDOM
    Phone
    +4402033421282
  • Complaints Contact

    Chester Rose Financial Planning Ltd, 53 Bartholomew Street
    Newbury
    West Berkshire
    RG14 5QA
    UNITED KINGDOM
    Phone
    +440163548727

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • Pension Transfer Advice

    For Retail (Investment), Professional, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Life Policy, Stakeholder pension scheme, Unit, Personal pension scheme

    Show 2 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.
    • · 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 Advice (no pensions)

    For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Structured Deposits, Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant, Non-investment insurance contracts, Personal pension scheme

    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 Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Structured Deposits, Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant, Non-investment insurance contracts, Personal pension scheme

    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

  • Credit Brokering

  • Debt Advice

    Show 2 limitations
    • · This permission is limited to debt counselling which is provided in connection with investment advice and advice on buy to let mortgages.
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.
  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Structured Deposits, Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Share, Stakeholder pension scheme, Unit, Warrant, Rights to or interests in investments (Security), Non-investment insurance contracts, Personal pension scheme

    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.

  • Andrew George Williams

    IRN AGW01114

    • (7)CF1 Director (1 Jun 2011 to 8 Apr 2014)
  • Andrew James Kerr Barker

    IRN AJB01661

    • (26)SMF3 Executive Director (9 Dec 2019 to 27 Jan 2025)
    • (28)[FCA CF] Significant management (9 Dec 2019 to 27 Jan 2025)
    • (27)CF1 Director (17 Sep 2008 to 8 Dec 2019)
  • David Christopher Flood

    IRN DCF00005

    • (35)[FCA CF] Significant management (9 Dec 2019 to 27 Jan 2025)
    • (29)SMF3 Executive Director (9 Dec 2019 to 27 Jan 2025)
    • (32)[FCA CF] Client dealing (9 Dec 2019 to 27 Jan 2025)
    • (33)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Jan 2025)
    • (30)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (34)CF1 Director (19 Oct 2006 to 8 Dec 2019)
    • (31)CF21 Investment Adviser (21 Oct 2003 to 31 Oct 2007)
  • David John Pollard

    IRN DJP00031

    • (24)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Jan 2026)
    • (13)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Jan 2026)
    • (14)SMF16 Compliance Oversight (9 Dec 2019 to 14 Jan 2026)
    • (15)SMF3 Executive Director (9 Dec 2019 to 14 Jan 2026)
    • (16)SMF1 Chief Executive (9 Dec 2019 to 14 Jan 2026)
    • (22)[FCA CF] Client dealing (9 Dec 2019 to 15 Jan 2026)
    • (25)[FCA CF] Significant management (9 Dec 2019 to 15 Jan 2026)
    • (12)Responsibility for MCD Intermediation (21 Mar 2016 to 14 Jan 2026)
    • (21)CF3 Chief Executive (1 Sep 2014 to 8 Dec 2019)
    • (17)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (20)CF10 Compliance Oversight (21 Oct 2003 to 8 Dec 2019)
    • (19)CF11 Money Laundering Reporting (21 Oct 2003 to 8 Dec 2019)
    • (18)CF21 Investment Adviser (21 Oct 2003 to 31 Oct 2007)
    • (23)CF1 Director (21 Oct 2003 to 8 Dec 2019)
  • Dudley Taylor Parker

    IRN DTP00009

    • (1)Responsible for Insurance Mediation (14 Jan 2005 to 31 Aug 2016)
    • (2)CF1 Director (21 Oct 2003 to 31 Aug 2016)
  • James England

    IRN JXE01194

    • (10)CF30 Customer (1 Nov 2007 to 15 Dec 2010)
    • (11)CF24 Pension Transfer Specialist (10 Mar 2004 to 31 Oct 2007)
  • Jason Lee Herbert

    IRN JLH00045

    • (9)CF21 Investment Adviser (21 Oct 2003 to 8 Oct 2004)
  • John Ramsden

    IRN JXR00030

    • (3)CF8 Apportionment and Oversight (21 Oct 2003 to 31 Mar 2009)
    • (4)CF3 Chief Executive (21 Oct 2003 to 31 Aug 2014)
    • (5)CF1 Director (21 Oct 2003 to 31 Aug 2014)
  • Kevin Peter Harding

    IRN KPH00005

    • (43)[FCA CF] Significant management (9 Dec 2019 to 31 Jan 2024)
    • (41)SMF3 Executive Director (9 Dec 2019 to 31 Jan 2024)
    • (42)CF1 Director (21 Oct 2003 to 8 Dec 2019)
  • Linda Carol Chantler

    IRN LCB00021

    • (6)CF1 Director (20 Oct 2004 to 2 Sep 2016)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

  1. controlled function added: (27)CF1 Director

  2. controlled function added: (26)SMF3 Executive Director

  3. controlled function added: (25)[FCA CF] Significant management

  4. controlled function added: (24)[FCA CF] Functions requiring qualifications

  5. controlled function added: (23)CF1 Director

  6. controlled function added: (22)[FCA CF] Client dealing

  7. controlled function added: (21)CF3 Chief Executive

  8. controlled function added: (20)CF10 Compliance Oversight

  9. controlled function added: (19)CF11 Money Laundering Reporting

  10. controlled function added: (18)CF21 Investment Adviser