Kelvin Financial Planning Limited

• Principal Place of Business

  Kelvin Financial Planning Ltd

  2/1 176 Bath Street

  Glasgow

  Glasgow City

  G2 4HG

  UNITED KINGDOM

  Phone

  +441412043272

  Web

  https://www.kelvinfp.com

• Complaints Contact

  Kelvin Financial Planning Ltd

  2/1 176 Bath Street

  Glasgow

  Glasgow City

  G2 4HG

  UNITED KINGDOM

  Phone

  +441412043272

• 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

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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 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Credit Brokering

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  • · The firm may not broker credit for the purpose of increasing the funds available for investment

• Debt Advice

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  • · Limited to debt counselling in relation to the provision of professional services (that is, services which do not consist of regulated activities) and 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

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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.

• Christopher John Malcolm

  IRN CJM01273

  • 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
  • SMF16 Compliance Oversight (since 1 Apr 2021)
  • Appointed representative dealing with clients for which they require qualification (since 30 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 30 Nov 2020)
  • [FCA CF] Client dealing (since 30 Nov 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF1 Director (AR) (since 4 Sep 2013)
  • CF30 Customer (since 22 Feb 2012)
  • [FCA CF] Manager of certification employee (26 Aug 2021 to 17 Feb 2022)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 27 Nov 2019)
  • CF10 Compliance Oversight (14 Jun 2013 to 15 May 2017)
  • Responsible for Insurance Mediation (14 Jun 2013 to 30 Sep 2018)
  • CF1 Director (22 Feb 2012 to 8 Dec 2019)
• Graeme William Leckie

  IRN GWL00003

  • CF1 Director (AR) (11 Sep 2013 to 26 Aug 2016)
  • CF11 Money Laundering Reporting (22 Feb 2012 to 26 Aug 2016)
  • CF1 Director (22 Feb 2012 to 26 Aug 2016)
  • CF30 Customer (22 Feb 2012 to 31 Oct 2016)
• Karen Elizabeth McLachlan

  IRN KEM01069

  • CF1 Director (AR) (since 10 Sep 2013)
• Kenneth Gow Carson

  IRN KGC00003

  • CF30 Customer (15 May 2014 to 19 Aug 2015)
• Kirsteen MacKay

  IRN KXM02346

  • CF30 Customer (5 Sep 2017 to 27 Feb 2018)
• Laura Finnie

  IRN LJT01055

  • [FCA CF] Client dealing (30 Nov 2020 to 26 Aug 2021)
  • [FCA CF] Functions requiring qualifications (30 Nov 2020 to 26 Aug 2021)
  • Appointed representative dealing with clients for which they require qualification (30 Nov 2020 to 26 Aug 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 13 Jan 2021)
  • CF10 Compliance Oversight (11 May 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (22 Feb 2012 to 10 Jun 2013)
  • CF30 Customer (22 Feb 2012 to 6 Dec 2021)
  • CF1 Director (22 Feb 2012 to 10 Jun 2013)
• Margaret Jane Lang

  IRN MJL01338

  • CF1 Director (AR) (since 16 Sep 2013)
• Michael Jackson

  IRN MXJ01275

  • 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 30 Nov 2020)
  • [FCA CF] Client dealing (since 30 Nov 2020)
  • Appointed representative dealing with clients for which they require qualification (since 30 Nov 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (AR) (since 17 Sep 2013)
  • CF30 Customer (since 22 Feb 2012)
  • CF11 Money Laundering Reporting (12 Sep 2016 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (12 Sep 2016 to 24 Jun 2019)
  • CF1 Director (22 Feb 2012 to 8 Dec 2019)
• Paul Edward Scarff

  IRN PES00005

  • 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 5 Jan 2024)
  • [FCA CF] Functions requiring qualifications (since 5 Jan 2024)

• RA Financial Planning Limited

  FRN 602705 · Appointed 18 Jun 2013

No changes recorded yet.