Medical & Professional Investment LLP

• Principal Place of Business

  53a John Street

  Porthcawl

  Mid Glamorgan

  CF36 3AY

  UNITED KINGDOM

  Phone

  +441656749902

  Web

  http://www.mpionline.org.uk

• Complaints Contact

  53a JohnStreet

  Porthcawl

  Mid Glamorgan

  CF36 3AY

  UNITED KINGDOM

  Phone

  +441656749902

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Negotiation

  Show 1 limitation Hide limitations

  • · Limited to debt adjusting excluding the conclusion or administration of 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”.

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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”.

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Rhodri Beynon

  IRN RXB00386

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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] Client dealing (since 3 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 7 Jun 2024)
• Richard Williams

  IRN RXW00257

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Robert Ford

  IRN RXF00034

  • 9A. Advising on P2P agreements
  • 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
  • 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] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 12 Oct 2016)
  • CF10 Compliance Oversight (23 May 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (27 Dec 2012 to 28 Oct 2019)
  • CF8 Apportionment and Oversight (3 Nov 2008 to 31 Mar 2009)
  • CF4 Partner (3 Nov 2008 to 8 Dec 2019)
  • CF30 Customer (3 Nov 2008 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 Nov 2008 to 30 Sep 2018)
• Robert Maurice Mumford

  IRN RMM00027

  • CF30 Customer (3 Nov 2008 to 31 Oct 2012)
• Sheena Davies

  IRN SXD00021

  • CF10 Compliance Oversight (17 Apr 2012 to 16 Jun 2016)
  • CF11 Money Laundering Reporting (3 Nov 2008 to 17 May 2012)
  • CF30 Customer (3 Nov 2008 to 16 Jun 2016)
  • CF4 Partner (3 Nov 2008 to 16 Jun 2016)
• Sheldon Mark Martin

  IRN SMM01206

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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 15 Nov 2023)
  • [FCA CF] Client dealing (since 15 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Nov 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 7 Nov 2022)
  • CF30 Customer (10 Feb 2015 to 8 Dec 2019)
• Stephen John Williams

  IRN SXW00050

  • CF11 Money Laundering Reporting (29 May 2012 to 30 Nov 2012)
  • CF30 Customer (3 Nov 2008 to 30 Nov 2012)
  • CF4 Partner (3 Nov 2008 to 11 Jul 2013)
  • CF10 Compliance Oversight (3 Nov 2008 to 5 Apr 2012)
• Thomas Francis Williams

  IRN TXW00206

  • [FCA CF] Functions requiring qualifications (7 Apr 2022 to 3 Jul 2023)

No changes recorded yet.