H.S.P. Financial Planning Limited

• Principal Place of Business

  Unit F

  Whiteacres

  Whetstone

  Leicester

  Leicestershire

  LE8 6ZG

  UNITED KINGDOM

  Phone

  +4401162750225

  Web

  https://www.hsp-ifa.com

• Complaints Contact

  Unit F

  Whiteacres

  Whetstone

  Leicester

  Leicestershire

  LE8 6ZG

  UNITED KINGDOM

  Phone

  +4401162750225

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

  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.

• 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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Mortgage Setup

• 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.

• Andrew John Rastrick

  IRN AJR00070

  • CF21 Investment Adviser (14 Nov 2003 to 4 Dec 2003)
• Caroline Simpson

  IRN CXS00161

  • 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
  • Responsible for Insurance Distribution (since 11 Jun 2021)
  • SMF16 Compliance Oversight (since 28 Apr 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Apr 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 13 Mar 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (11 Feb 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (30 Jan 2004 to 31 Oct 2007)
• Gilbert Gunn Scoular

  IRN GGS00001

  • CF30 Customer (1 Nov 2007 to 21 Dec 2012)
  • CF21 Investment Adviser (30 Jan 2004 to 31 Oct 2007)
  • CF1 Director (30 Jan 2004 to 21 Dec 2012)
• Ian Vernon

  IRN IXV01059

  • 11. Pension transfer specialist
  • 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
  • SMF3 Executive Director (since 24 May 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2016 to 8 Dec 2019)
• Lauren Kylie Matthews

  IRN LKH01022

  • 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)
  • SMF3 Executive Director (since 26 Apr 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (6 Mar 2008 to 8 Dec 2019)
• Martyn Neil Holmes

  IRN MNH00001

  • CF30 Customer (1 Nov 2007 to 20 Nov 2009)
  • CF1 Director (30 Jan 2004 to 20 Nov 2009)
  • CF21 Investment Adviser (30 Jan 2004 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (30 Jan 2004 to 31 Oct 2007)
• Nigel Pole

  IRN NXP00001

  • SMF16 Compliance Oversight (9 Dec 2019 to 10 Jun 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 10 Jun 2021)
  • SMF3 Executive Director (9 Dec 2019 to 10 Jun 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Jun 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Jun 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 10 Jun 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (12 Sep 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (30 Jan 2004 to 30 Jan 2004)
  • CF1 Director (30 Jan 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (30 Jan 2004 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (30 Jan 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (30 Jan 2004 to 31 Oct 2007)
• Russell Anthony Spiers

  IRN RAS01343

  • 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 (15 Dec 2011 to 8 Dec 2019)
• Samuel Pole

  IRN SXP01022

  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 5 Dec 2024)
• Stephen Sharp

  IRN SXS04914

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Aug 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Aug 2020)
  • CF30 Customer (1 Sep 2017 to 8 Dec 2019)

No changes recorded yet.