Jane Smith Financial Planning Limited

• Principal Place of Business

  7 Osier Way

  Olney Office Park

  Olney

  Buckinghamshire

  MK46 5FP

  UNITED KINGDOM

  Phone

  +4401234713131

  Web

  https://www.janesmithfinancial.com

• Complaints Contact

  7 Osier Way

  Olney Office Park

  Olney

  Buckinghamshire

  MK46 5FP

  UNITED KINGDOM

  Phone

  +4401234713131

• 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

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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.
  • · 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 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

  For Professional, Retail (Investment)

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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 which is provided in connection with investment advice
  • · This permission is limited to debt counselling with no debt management 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 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.

• Clare Lehman

  IRN CXL01712

  • CF30 Customer (23 Aug 2018 to 8 Dec 2019)
• Emma Catheryn Grounds

  IRN ECS01035

  • CF1 Director (19 Jun 2007 to 22 Jun 2011)
  • CF11 Money Laundering Reporting (19 Jun 2007 to 25 Mar 2011)
• Jane Eileen Smith

  IRN JES00019

  • CF1 Director (3 Jun 2016 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 1 Dec 2010)
  • Responsible for Insurance Mediation (14 Jan 2005 to 1 Dec 2010)
  • CF11 Money Laundering Reporting (29 Aug 2002 to 31 Jul 2007)
  • CF10 Compliance Oversight (29 Aug 2002 to 31 Jul 2007)
  • CF8 Apportionment and Oversight (29 Aug 2002 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (29 Aug 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (29 Aug 2002 to 31 Oct 2007)
• Neil Kenneth Smith

  IRN NKS01022

  • CF21 Investment Adviser (1 Jan 2004 to 20 Sep 2004)
  • CF22 Investment Adviser (Trainee) (1 Apr 2003 to 1 Jan 2004)
• Nicola Jane Watts

  IRN NJS00055

  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (29 Mar 2011 to 8 Dec 2019)
  • Responsible for Insurance Mediation (7 Dec 2010 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (31 Jul 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (31 Jul 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (29 Aug 2002 to 31 Oct 2007)
• Stuart Michael Shelton

  IRN SMS01174

  • CF30 Customer (2 Aug 2012 to 19 Dec 2012)

No changes recorded yet.