JPB FINANCIAL PLANNING LIMITED

• Principal Place of Business

  11 Market Place

  Macclesfield

  Cheshire

  SK10 1EB

  UNITED KINGDOM

  Phone

  +4401625613940

  Web

  https://www.jpbfinancialplanning.co.uk

• Complaints Contact

  J P B Financial Planning Ltd

  11 Market Place

  Macclesfield

  Cheshire East

  SK10 1EB

  UNITED KINGDOM

  Phone

  +4401625613940

• 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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  • · 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

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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

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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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  • · Limited to debt counselling excluding giving advice about debt management plans In this limitation "debt management plans" is defined as: "a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders"

• 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

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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.

• Jonathan Molloy

  IRN JXM46491

  • 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
  • [FCA CF] Functions requiring qualifications (since 9 Feb 2020)
  • [FCA CF] Client dealing (since 3 Feb 2020)
• Jonathan Walkingshaw

  IRN JXW01894

  • CF30 Customer (7 Jan 2019 to 1 Mar 2019)
• Lee Pimblott

  IRN LXP01077

  • SMF3 Executive Director (9 Dec 2019 to 25 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 25 Mar 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 25 Mar 2025)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 10 Dec 2019)
  • Responsible for Insurance Distribution (4 Jan 2019 to 25 Mar 2025)
  • CF11 Money Laundering Reporting (4 Jan 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 Jan 2019 to 8 Dec 2019)
  • CF1 Director (7 Mar 2016 to 8 Dec 2019)
  • CF30 Customer (7 Mar 2016 to 8 Dec 2019)
• Mark Gerard Treverton Galligan

  IRN MGG01039

  • [FCA CF] Client dealing (2 Jan 2020 to 11 Jun 2021)
  • [FCA CF] Functions requiring qualifications (2 Jan 2020 to 11 Jun 2021)
• Michael Sibberin Owen

  IRN MSO01011

  • CF30 Customer (17 Mar 2017 to 8 Dec 2019)
• Philip Huw Jones

  IRN PHJ01022

  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Dec 2024)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (7 Mar 2016 to 8 Dec 2019)
  • CF1 Director (7 Mar 2016 to 8 Dec 2019)
• Robert Michael Thomas Harding

  IRN RXH00743

  • 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2024)
  • [FCA CF] Client dealing (since 1 Apr 2024)
• Sarah Elizabeth Mullarkey

  IRN SXM01305

  • [FCA CF] Client dealing (13 Mar 2023 to 1 Aug 2025)
  • [FCA CF] Functions requiring qualifications (13 Mar 2023 to 1 Aug 2025)
• William Beighton

  IRN WXB01108

  • 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Responsible for Insurance Distribution (since 28 Mar 2025)
  • SMF16 Compliance Oversight (since 1 Dec 2024)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 5 Nov 2018)
  • CF30 Customer (7 Mar 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (7 Mar 2016 to 30 Sep 2018)
  • CF10 Compliance Oversight (7 Mar 2016 to 5 Nov 2018)
  • CF11 Money Laundering Reporting (7 Mar 2016 to 5 Nov 2018)
  • CF1 Director (7 Mar 2016 to 8 Dec 2019)

No changes recorded yet.