James Irvine Financial Planning Limited

Date authorised
3 February 2014
Companies House
SC456751
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    157 West Stirling Street
    Alva
    Clackmannanshire
    FK12 5EL
    UNITED KINGDOM
    Phone
    +4407909677281

  • Complaints Contact

    157 West Stirling Street
    Alva
    Clackmannanshire
    FK12 5EL
    UNITED KINGDOM
    Phone
    +4407909677281

What this firm is allowed to do

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

  • P2P Lending Advice

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

  • 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

    Show 2 limitations
    • · 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

    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.

  • Authorised to Operate

    Show 1 limitation
    • · 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
    • · 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 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
    • · 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 Ferguson

    IRN AXF00074

    • SMF3 Executive Director (since 25 Nov 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Nov 2024)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF10 Compliance Oversight (3 Feb 2014 to 8 Dec 2019)
    • CF30 Customer (3 Feb 2014 to 8 Dec 2019)
    • CF1 Director (3 Feb 2014 to 11 Nov 2014)
  • James Irvine

    IRN JXI00011

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 4 Nov 2024)
    • SMF3 Executive Director (9 Dec 2019 to 4 Nov 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 4 Nov 2024)
    • CF30 Customer (28 Mar 2014 to 8 Dec 2019)
    • CF1 Director (3 Feb 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Feb 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Feb 2014 to 30 Sep 2018)

Recent activity

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

No changes recorded yet.