KELVIN SMITH FINANCIAL PLANNING LTD.

• Principal Place of Business

  3rd Floor

  The Sinclair Building,

  18-20 Eagle Street,

  Glasgow

  Lanarkshire

  G4 9XA

  UNITED KINGDOM

  Phone

  +441412124585

• Complaints Contact

  Sinclair Building

  3rd Floor

  18-20

  Eagle Street

  Glasgow

  Lanarkshire

  G4 9XA

  UNITED KINGDOM

  Phone

  +441412124585

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For 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

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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: 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 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For 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.

• Allan Kinnaird

  IRN AXK00081

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 19 Apr 2022)
  • [FCA CF] Benchmark submission and administration (since 19 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 19 Apr 2022)
• Helen Fay Fergus

  IRN HFF01006

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Significant management (since 28 Aug 2024)
  • [FCA CF] Functions requiring qualifications (since 1 May 2021)
  • [FCA CF] Client dealing (since 1 May 2021)
  • CF30 Customer (7 Aug 2018 to 8 Dec 2019)
• Jacqueline Ellen Fowler

  IRN JEF00025

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 12 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 12 Nov 2022)
• James Alan Whitelaw

  IRN JAW00019

  • CF30 Customer (25 Sep 2019 to 8 Dec 2019)
• Jonathan Douglas Crowther

  IRN JDC01182

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 5 May 2021)
  • [FCA CF] Client dealing (5 May 2021 to 1 Aug 2025)
• Per Munch Oszadlik

  IRN PMO00016

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 10 Sep 2018)
  • CF10 Compliance Oversight (23 Nov 2015 to 8 Dec 2019)
  • CF1 Director (23 Nov 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (23 Nov 2015 to 8 Dec 2019)
• Stephen Michael Travers

  IRN SXT01354

  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsible for Insurance Mediation (23 Nov 2015 to 30 Sep 2018)
  • CF1 Director (23 Nov 2015 to 8 Dec 2019)
• Stuart Kenneth MacKenzie

  IRN SKM00016

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 9A. Advising on P2P agreements
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2022)
  • [FCA CF] Client dealing (since 1 Jan 2022)
  • [FCA CF] Manager of certification employee (since 1 Jan 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (25 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (23 Nov 2015 to 8 Dec 2019)

No changes recorded yet.