MITCHELL PROCKTER (FINANCIAL SERVICES) LIMITED

• Principal Place of Business

  Mitchell Procktor

  15 Grove Place

  Bedford

  MK40 3JJ

  UNITED KINGDOM

  Phone

  +4401234344690

  Web

  https://www.mitchellprockter.co.uk

• Complaints Contact

  Mitchell Prockter

  15 Grove Place

  BEDFORD

  Bedfordshire

  MK40 3JJ

  UNITED KINGDOM

  Phone

  +4401234344690

• 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 pension policies with a Guaranteed Annuity Rate.
  • · 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• 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.

• Brian James Mitchell

  IRN BJM00008

  • CF21 Investment Adviser (1 Dec 2001 to 29 Apr 2003)
  • CF1 Director (1 Dec 2001 to 29 Apr 2003)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 29 Apr 2003)
  • CF10 Compliance Oversight (1 Dec 2001 to 29 Apr 2003)
• Edward Graham Thomson

  IRN EGT01010

  • CF24 Pension Transfer Specialist (3 Dec 2002 to 29 Apr 2003)
  • CF22 Investment Adviser (Trainee) (3 Dec 2002 to 29 Apr 2003)
  • CF1 Director (AR) (3 Dec 2002 to 29 Apr 2003)
• Gary Brian Mitchell

  IRN GBM00003

  • 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)
  • Responsible for Insurance Distribution (since 16 Aug 2022)
  • [FCA CF] Manager of certification employee (since 12 Aug 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Jun 2022)
  • SMF16 Compliance Oversight (since 15 Jun 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 8 Feb 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (AR) (14 Feb 2005 to 14 Mar 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Howard Brent Cox

  IRN HBC00001

  • CF1 Director (AR) (28 Nov 2002 to 3 Feb 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 12 Dec 2005)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 12 Dec 2005)
• Jennifer Seymour

  IRN JXS23813

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Oct 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Oct 2023)
  • CF30 Customer (14 Nov 2019 to 8 Dec 2019)
• Mark Adrian Brian Mitchell

  IRN MAM00058

  • [FCA CF] Significant management (9 Dec 2019 to 8 Feb 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 13 Jul 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Jul 2022)
  • SMF3 Executive Director (9 Dec 2019 to 30 Sep 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 12 Aug 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 16 Aug 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (8 May 2003 to 31 Mar 2009)
  • CF10 Compliance Oversight (27 Nov 2002 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (25 Jun 2002 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

• Advisa Ltd (no longer appointed)

  FRN 220796 · Appointed 18 Nov 2002 · Until 14 Mar 2012

No changes recorded yet.