Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
Senator House85 Queen Victoria StreetLondonEC4V 4ABUNITED KINGDOM- Phone
- +442075625800
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Complaints Contact
Quilter Financial Planning Complaints DepartmentSunderlandSR43 4JRUNITED KINGDOM- Phone
- +448081415077
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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Buy-to-Let Mortgage Advice
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Buy-to-Let Mortgage Arranging
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Pension Transfer Advice
For Retail (Investment), Professional, Unit, Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Personal pension scheme
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.
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Equity Release Advice
For Customer, Home reversion plans
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Investment Advice (no pensions)
For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Structured Deposits, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Personal pension scheme
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.
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Mortgage Advice
For Customer, Regulated mortgage contract
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Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
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Equity Release Arranging
For Customer, Home reversion plans
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Arranges Investments
For Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Structured Deposits, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Personal pension scheme
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.
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Mortgage Arranging
For Customer, Regulated mortgage contract
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Credit Brokering
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Debt Advice
Show 2 limitations Hide limitations
- · This permission is limited to debt counselling which is provided in connection with investment advice and/or buy to let mortgages, let to buy mortgages, second charge lending and bridging loans
- · This permission is limited to debt counselling with no debt management activity
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Equity Release Setup
For Customer, Home reversion plans
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Mortgage Setup
For Customer, Regulated mortgage contract
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Investment Setup
For Commercial, Retail (Non-Investment Insurance), Retail (Investment), Professional, Structured Deposits, Non-investment insurance contracts, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Personal pension scheme
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.
Approved individuals
Senior staff personally approved by the FCA to hold their roles here.
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Peter Highet
IRN PXH00019
- (1197)CF30 Customer (1 Nov 2007 to 31 Dec 2007)
- (1200)CF4 Partner (AR) (16 May 2005 to 11 Jan 2007)
- (1199)CF7 Sole Trader (AR) (24 Sep 2003 to 1 May 2005)
- (1198)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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Peter Jack Shaw
IRN PJS01377
- (1790)CF30 Customer (22 Mar 2018 to 31 May 2019)
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Peter James Gibbs
IRN PJG00006
- (119)CF30 Customer (1 Nov 2007 to 31 Dec 2012)
- (121)CF7 Sole Trader (AR) (7 Feb 2003 to 31 Jan 2007)
- (120)CF21 Investment Adviser (1 Nov 2002 to 31 Oct 2007)
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Peter James Robins
IRN PJR00040
- (69)CF21 Investment Adviser (10 Feb 2003 to 30 Dec 2004)
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Peter James Smith
IRN PJS01362
- (3473)CF10a CASS Oversight function (1 Oct 2011 to 31 May 2013)
- (3474)CF2 Non Executive Director (AR) (1 Apr 2011 to 31 Mar 2022)
- (3476)CF1 Director (12 Jun 2008 to 8 Dec 2019)
- (3475)CF1 Director (AR) (12 Jun 2008 to 31 Mar 2022)
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Peter John Chard
IRN PJC00092
- (1978)CF30 Customer (1 Nov 2007 to 18 Jul 2008)
- (1979)CF21 Investment Adviser (1 Nov 2005 to 31 Oct 2007)
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Peter John David Murphy
IRN PJM00017
- (2801)Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 12 May 2022)
- (2798)CF30 Customer (1 Nov 2007 to 12 May 2022)
- (2800)CF7 Sole Trader (AR) (12 Dec 2002 to 31 Jan 2007)
- (2799)CF21 Investment Adviser (1 Nov 2002 to 31 Oct 2007)
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Peter John Henry
IRN PJH00018
- (446)CF30 Customer (1 Nov 2007 to 30 Nov 2010)
- (447)CF21 Investment Adviser (1 Nov 2002 to 31 Oct 2007)
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Peter John Perchard
IRN PJP01099
- (2951)CF30 Customer (3 Jan 2012 to 18 Sep 2015)
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Peter John Wilkes
IRN PXW00053
- (1820)CF30 Customer (1 Nov 2007 to 30 Sep 2009)
- (1822)CF7 Sole Trader (AR) (16 Dec 2004 to 31 Jan 2007)
- (1821)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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The Octavian Partnership (SM Financial Services) (no longer appointed)
FRN 467345 · Appointed 1 May 2007 · Until 31 Dec 2008
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Apex CB Financial Planning Ltd (no longer appointed)
FRN 466169 · Appointed 3 Apr 2007 · Until 31 Dec 2009
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David Farrar Associates (no longer appointed)
FRN 225333 · Appointed 26 Feb 2007 · Until 31 Aug 2008
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Abacus Asset Investment Limited (no longer appointed)
FRN 206209 · Appointed 23 Jan 2007 · Until 31 Aug 2008
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Eldercare Solutions Ltd (no longer appointed)
FRN 462575 · Appointed 16 Jan 2007 · Until 22 Nov 2013
Recent activity
Updates to this firm's record on the FCA register.
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trading name added: MHA MacIntyre Hudson Mortgage Solutions
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trading name added: Lighthouse Pensions Help
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trading name added: Lighthouse Mortgage and Protection Solutions
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trading name added: George Ognibeni Wealth Management
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trading name added: LighthouseXpress Limited
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trading name added: Berkeley Wodehouse Associates Limited
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permission removed: CBTL Effective Date
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permission removed: CBTL Status
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controlled function added: (369)SMF17 Money Laundering Reporting Officer (MLRO)
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controlled function added: (368)SMF11 Chair of the Audit Committee