NFP Financial Planning Limited

• Principal Place of Business

  Unit 14

  12 Caroline Point

  62 Caroline Street

  Birmingham

  B3 1UF

  UNITED KINGDOM

  Phone

  +4401212369900

  Web

  https://nfp.co.uk

• Complaints Contact

  Unit 14

  12 Caroline Point

  62 Caroline Street

  Birmingham

  B3 1UF

  UNITED KINGDOM

  Phone

  +4401212369900

• Buy-to-Let Mortgage Advice

• 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: 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), Share, Stakeholder pension scheme, 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), 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, 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.

• Buy-to-Let Start Date

• Buy-to-Let Status

• 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”.

• 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), Share, Stakeholder pension scheme, 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.

• Richard Anthony Basford

  IRN RAB00018

  • Responsibility for MCD Intermediation (23 Jun 2021 to 18 Jan 2024)
  • Responsible for Insurance Distribution (23 Jun 2021 to 18 Jan 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 16 Feb 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Feb 2023)
  • SMF3 Executive Director (9 Dec 2019 to 18 Jan 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Feb 2023)
  • CF11 Money Laundering Reporting (6 Jun 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (6 Jun 2016 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Richard James Hall

  IRN RJH01407

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jun 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jun 2024)
  • CF30 Customer (29 May 2018 to 8 Dec 2019)
• Richard John Farmer

  IRN RXF87718

  • 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 1 Apr 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Apr 2025)
• Rob Massey

  IRN RXM00667

  • Director of firm who is not a certification employee or a SMF manager (31 May 2022 to 1 Jun 2023)
• Simon Michael Richard Thorpe

  IRN SMT01071

  • 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 11 Sep 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Simon Mills

  IRN SXM04935

  • SMF16 Compliance Oversight (since 1 Apr 2026)
• Thomas Owen Moran

  IRN TXM00354

  • 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] Functions requiring qualifications (since 19 Aug 2025)
  • [FCA CF] Client dealing (since 19 Aug 2025)

• Johnson Fleming Future Life Planning Limited (no longer appointed)

  FRN 624599 · Appointed 25 Sep 2024 · Until 1 Dec 2025

No changes recorded yet.