IPP Financial Services LLP

• Principal Place of Business

  I P P Financial Services LLP

  Old Docks House

  90 Watery Lane

  Preston

  Lancashire

  PR2 1AU

  UNITED KINGDOM

  Phone

  +4401772883476

  Web

  https://ippgroup.co.uk

• Complaints Contact

  I P P Financial Services LLP

  Old Docks House

  90 Watery Lane

  Preston

  Lancashire

  PR2 1AU

  UNITED KINGDOM

  Phone

  +4401772883476

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, 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

  Show 2 limitations Hide limitations

  • · 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

  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

• Credit Brokering

• Debt Negotiation

  Show 1 limitation Hide limitations

  • · This permission is limited to debt adjusting with no debt management activity

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Consumer Loans

• Loan Servicing

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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 Gerald Rutherford Buchanan

  IRN AGB00009

  • CF30 Customer (9 Feb 2012 to 21 Jul 2014)
• Daniel Leon Williams

  IRN DLW00016

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Jul 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Jul 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Sep 2004 to 31 Oct 2007)
• David Rae

  IRN DXA01221

  • CF30 Customer (2 Feb 2011 to 31 Dec 2015)
• Dean Francis Harrison

  IRN DFH00001

  • CF30 Customer (1 Feb 2011 to 21 Jul 2014)
• Derek Charles Mc Allister

  IRN DCM00035

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (9 Aug 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (9 Aug 2004 to 31 Mar 2009)
  • CF4 Partner (9 Aug 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (9 Aug 2004 to 31 Oct 2007)
• Jolyon Neil Harrison Barlow

  IRN JNB01047

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (9 Aug 2004 to 31 Oct 2007)
• Mark Anthony Ivison

  IRN AMI00003

  • SMF27 Partner (9 Dec 2019 to 31 Aug 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Aug 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF4 Partner (9 Aug 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (9 Aug 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (9 Aug 2004 to 8 Dec 2019)
• Mark Spendlove

  IRN MXS00047

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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 (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (10 Feb 2005 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (10 Feb 2005 to 31 Oct 2007)
• Steven Edward Crowe

  IRN SEC00005

  • CF30 Customer (1 Nov 2007 to 31 Dec 2015)
  • CF21 Investment Adviser (9 Aug 2004 to 31 Oct 2007)

No changes recorded yet.