MKS FINANCIAL PLANNING LIMITED

• Principal Place of Business

  Moore Kingston Smith & Partners Ltd

  9 Appold Street

  London

  Hackney

  EC2A 2AP

  UNITED KINGDOM

  Phone

  +4402045821000

  Web

  https://www.mooreks.co.uk/services/advisory/financial-planning/

• Complaints Contact

  Moore Kingston Smith & Partners Ltd

  9 Appold Street

  London

  Hackney

  EC2A 2AP

  UNITED KINGDOM

  Phone

  +4402045821000

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

  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.

• 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

• 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

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Buy-to-Let Start Date

• Buy-to-Let Status

• 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.

• Peter Nicholas Oakes

  IRN PNO01009

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Apr 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 4 Apr 2025)
  • CF30 Customer (8 Sep 2015 to 8 Dec 2019)
• Richard John Read

  IRN RJR00001

  • 11. Pension transfer specialist
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF10a CASS Oversight function (1 Jul 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jul 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jul 2012 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Robert Gout

  IRN RDG01078

  • CF30 Customer (9 May 2011 to 3 Aug 2018)
• Robert Karel Marek

  IRN RKM01028

  • CF30 Customer (1 Sep 2017 to 29 Mar 2018)
• Roger Paul Ruffles

  IRN RPR00002

  • CF1 Director (1 Dec 2001 to 31 Dec 2001)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2001)
• Stephen Robert Dean

  IRN SRD00002

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2025)
  • [FCA CF] Client dealing (since 1 Dec 2025)
• Thomas James Nel

  IRN TJN01048

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Dec 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 23 Dec 2021)
  • CF30 Customer (25 Feb 2019 to 8 Dec 2019)

No changes recorded yet.