John Phillips Financial Planning LLP

• Principal Place of Business

  Unit 47A

  Crofty Industrial Estate

  Penclawdd

  Swansea

  SA4 3RS

  UNITED KINGDOM

  Phone

  +4401792389616

• Complaints Contact

  Unit 47A

  Crofty Industrial Estate

  Penclawdd

  Swansea

  SA4 3RS

  UNITED KINGDOM

  Phone

  +4401792389616

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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 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.
  • · 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 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.

• 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.

• 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.

• Francesca Palmese

  IRN FXP00131

  • 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 1 Apr 2026)
• Jacqueline Phillips

  IRN JXP02486

  • 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] Client dealing (since 10 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 10 Nov 2023)
  • SMF27 Partner (since 9 Dec 2019)
  • CF1 Director (AR) (28 Apr 2022 to 26 May 2024)
  • CF4 Partner (18 May 2016 to 8 Dec 2019)
• John Anthony Phillips

  IRN JXP00038

  • 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 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (5 Nov 2014 to 8 Dec 2019)
  • CF4 Partner (5 Nov 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (5 Nov 2014 to 8 Dec 2019)
  • Responsible for Insurance Mediation (5 Nov 2014 to 30 Sep 2018)
  • CF30 Customer (5 Nov 2014 to 8 Dec 2019)
• Kelvin Facey

  IRN KEF00003

  • [FCA CF] Client dealing (11 Nov 2020 to 21 Sep 2023)
  • [FCA CF] Functions requiring qualifications (11 Nov 2020 to 21 Sep 2023)
• Mary Whale

  IRN MXW02112

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (5 Nov 2014 to 8 Dec 2019)

• J & J Phillips Financial Planning Ltd (no longer appointed)

  FRN 974560 · Appointed 25 Apr 2022 · Until 26 May 2024

No changes recorded yet.