Moffatt Financial Planning Limited

• Principal Place of Business

  Parkway 2

  Parkway Business Centre

  Princess Road

  Manchester

  M14 7LU

  UNITED KINGDOM

  Phone

  +4401612265002

  Web

  https://www.moffatts.com

• Complaints Contact

  Parkway 2

  Princess road

  Manchester

  M14 7LU

  UNITED KINGDOM

  Phone

  +4401612265002

• 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

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  • · 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.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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), 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.

• 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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), 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• Debt Advice

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  • · 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”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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), 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.

• Adam Rowbottom

  IRN APR01066

  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 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)
  • 11. Pension transfer specialist
  • [FCA CF] Significant management (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (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 25 Apr 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (25 Feb 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (25 Feb 2004 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (25 Feb 2004 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (24 Feb 2004 to 31 Oct 2007)
  • CF10 Compliance Oversight (24 Feb 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 25 Feb 2004)
• Andrew Street

  IRN AXS00080

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Significant management (since 9 Dec 2020)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
• Brian Sandiford

  IRN BJS01085

  • CF21 Investment Adviser (26 Apr 2002 to 26 Apr 2002)
• Carolyn Dibben

  IRN CXD00085

  • CF21 Investment Adviser (1 Apr 2003 to 21 Apr 2003)
• Colin Warren

  IRN CXW01261

  • CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2001)
• Fiona Duggan

  IRN FXC01341

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 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)
  • 11. Pension transfer specialist
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • CF30 Customer (20 Jun 2013 to 8 Dec 2019)
• Jennifer East

  IRN JXE00191

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 16 Aug 2021)
• John Smith

  IRN JCS00046

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • 11. Pension transfer specialist
  • [FCA CF] Significant management (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 23 Nov 2017)
  • CF10 Compliance Oversight (23 Nov 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (23 Nov 2017 to 30 Sep 2018)
  • CF1 Director (21 Dec 2012 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (17 May 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (17 May 2004 to 31 Oct 2007)
• William Staley

  IRN WXS00194

  • 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
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 28 Nov 2024)
  • [FCA CF] Client dealing (since 28 Nov 2024)

• Andrew Street Financial Services

  FRN 583218 · Appointed 20 Jun 2012

No changes recorded yet.