Old Mill Financial Planning Limited

• Principal Place of Business

  Maltravers House

  Petters Way

  Yeovil

  Somerset

  BA20 1SH

  UNITED KINGDOM

  Phone

  +441935426181

  Web

  https://www.om.uk

• Complaints Contact

  Maltravers House

  Petters Way

  Yeovil

  Somerset

  BA20 1SH

  UNITED KINGDOM

  Phone

  +441935426181

• 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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  • · 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.
  • · 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 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.

• 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), 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.

• Amanda Hilary Browning

  IRN AXH00167

  • [FCA CF] Client dealing (26 Apr 2023 to 10 Jun 2024)
• Andrew David Page

  IRN ADP00013

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • [FCA CF] Client dealing (since 3 Oct 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Anthony Carlo Hawes

  IRN ACH00016

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 3 Oct 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Charlotte Corr

  IRN CXC20497

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • [FCA CF] Client dealing (since 3 Oct 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Christopher Edward Tweedie

  IRN CET00007

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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
  • [FCA CF] Client dealing (since 3 Oct 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Daniel Reece Middle

  IRN DRM01113

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • SMF3 Executive Director (since 31 Oct 2024)
  • [FCA CF] Client dealing (since 3 Oct 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• David Stephen George Rice

  IRN DSR01039

  • [FCA CF] Client dealing (3 Oct 2022 to 31 Mar 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2026)
• Duncan Benedict Parkes

  IRN DBP00016

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Oct 2022)
  • Responsible for Insurance Distribution (since 3 Oct 2022)
  • SMF16 Compliance Oversight (since 3 Oct 2022)
  • SMF3 Executive Director (since 3 Oct 2022)
  • [FCA CF] Client dealing (since 3 Oct 2022)
  • [FCA CF] Functions requiring qualifications (since 3 Oct 2022)
• Elizabeth Angela Faye Webb

  IRN EAW01065

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • [FCA CF] Functions requiring qualifications (since 10 Mar 2026)
  • [FCA CF] Client dealing (since 10 Mar 2026)
• Elizabeth Thorner

  IRN EXT01201

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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
  • [FCA CF] Client dealing (since 3 Oct 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)

No changes recorded yet.