HLSFM LIMITED

• Principal Place of Business

  Harperlees Financial Planning

  Unit 2-4

  Rays Farm

  Ingatestone

  Essex

  CM4 9EH

  UNITED KINGDOM

  Phone

  +4401277350560

  Web

  https://www.harperlees.co.uk

• Complaints Contact

  Harperlees Financial Planning

  Unit 2-4

  Rays Farm

  Ingatestone

  Essex

  CM4 9EH

  UNITED KINGDOM

  Phone

  +4401277350560

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), 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 pension policies with a Guaranteed Annuity Rate.
  • · 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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with financial planning, investment advice and first charge mortgages

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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.

• Adrian Simon Quick

  IRN ASQ00001

  • SMF16 Compliance Oversight (9 Dec 2019 to 10 Feb 2021)
  • SMF3 Executive Director (9 Dec 2019 to 4 Jul 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Mar 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 10 Feb 2021)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 13 Dec 2022)
  • CF10 Compliance Oversight (11 Sep 2013 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (11 Sep 2013 to 17 Oct 2018)
  • Responsible for Insurance Mediation (11 Sep 2013 to 30 Sep 2018)
  • CF28 Systems and controls (1 Nov 2007 to 3 May 2012)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (4 Jan 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (4 Jan 2005 to 31 Oct 2007)
  • CF13 Finance (4 Jan 2005 to 31 Oct 2007)
  • CF1 Director (4 Jan 2005 to 8 Dec 2019)
• Andrew John Peirson

  IRN AJP01327

  • CF30 Customer (1 Feb 2009 to 17 Oct 2013)
• Andrew Philip Langworthy

  IRN APL00016

  • CF30 Customer (21 Mar 2017 to 3 Dec 2019)
• Brian John Harris

  IRN BJH00009

  • CF30 Customer (1 Nov 2007 to 1 Aug 2016)
  • CF21 Investment Adviser (25 Apr 2005 to 31 Oct 2007)
• Charlotte Leanne Quinn

  IRN CLQ01005

  • CF30 Customer (1 Sep 2014 to 15 Mar 2018)
• Karen Mabel Harman

  IRN KMH01046

  • CF22 Investment Adviser (Trainee) (2 Jun 2005 to 8 Jun 2005)
• Laura Emerson

  IRN LXE00139

  • 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 Feb 2024)
  • [FCA CF] Client dealing (since 7 Feb 2024)
• Mark MacLean

  IRN MXM00008

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • CF1 Director (20 Apr 2018 to 8 Dec 2019)
  • CF30 Customer (9 Apr 2018 to 8 Dec 2019)
• Simon David Charles Sanders

  IRN SDS00005

  • CF30 Customer (1 Nov 2007 to 31 Mar 2015)
  • Responsible for Insurance Mediation (14 Jan 2005 to 27 Aug 2013)
  • CF24 Pension Transfer Specialist (4 Jan 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (4 Jan 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (4 Jan 2005 to 27 Aug 2013)
  • CF10 Compliance Oversight (4 Jan 2005 to 27 Aug 2013)
  • CF1 Director (4 Jan 2005 to 27 Aug 2013)
  • CF8 Apportionment and Oversight (4 Jan 2005 to 31 Mar 2009)
• Stephanie McDonald

  IRN SXM03231

  • 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 6 Feb 2021)
  • Responsible for Insurance Distribution (since 6 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (13 Dec 2022 to 12 Jun 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2021)
  • CF1 Director (15 Oct 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (15 Oct 2018 to 8 Dec 2019)
  • CF30 Customer (1 Sep 2014 to 8 Dec 2019)

No changes recorded yet.