Optimum Path Financial Planning Ltd

• Principal Place of Business

  4 Brook Park

  Gaddesby Lane

  Rearsby

  Leic's

  LE7 4ZB

  UNITED KINGDOM

  Phone

  +441664778899

  Web

  https://optimumpath.co.uk

• Complaints Contact

  4 Brook Park

  Gaddesby Lane

  Rearsby

  Leic's

  LE7 4ZB

  UNITED KINGDOM

  Phone

  +441664778899

• 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.

• 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, 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), 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.

• Insurance Admin

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

• Stockbroking

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

• 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, 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.

• Alasdair Jon Walker

  IRN AJW01521

  • 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 19 Nov 2024)
  • Responsible for Insurance Distribution (since 25 Feb 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Feb 2022)
  • [FCA CF] Manager of certification employee (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)
  • SMF16 Compliance Oversight (25 Feb 2022 to 2 Oct 2023)
  • CF1 Director (26 Mar 2014 to 8 Dec 2019)
  • CF30 Customer (1 Jan 2012 to 8 Dec 2019)
• Alyson Juliet Hunter

  IRN AJH01583

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Jan 2025)
  • CF2 Non Executive Director (1 Oct 2019 to 8 Dec 2019)
  • CF1 Director (26 Jul 2010 to 1 Oct 2019)
• Jacob Siara

  IRN JXS04267

  • 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
  • [FCA CF] Functions requiring qualifications (since 27 Aug 2025)
  • [FCA CF] Client dealing (since 27 Aug 2025)
• James Aitkenhead

  IRN JCA00002

  • SMF1 Chief Executive (9 Dec 2019 to 12 Jun 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2025)
  • SMF3 Executive Director (9 Dec 2019 to 31 Jan 2025)
  • CF3 Chief Executive (8 Oct 2019 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 1 Apr 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Apr 2018)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Apr 2018)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Laura Ripley

  IRN LXR01445

  • SMF3 Executive Director (21 Feb 2022 to 16 Mar 2023)
  • [FCA CF] Client dealing (8 Jan 2021 to 2 May 2023)
  • [FCA CF] Functions requiring qualifications (8 Jan 2021 to 2 May 2023)
• Lisa Marie Leeland

  IRN LML00010

  • CF21 Investment Adviser (1 Dec 2001 to 30 Nov 2003)
• Melissa Louise Walker

  IRN MXW00912

  • Director of firm who is not a certification employee or a SMF manager (since 21 Feb 2025)
• Peter Moir Martin

  IRN PMM00024

  • CF1 Director (1 Dec 2001 to 30 Apr 2011)
• Robert Graham Handford

  IRN RGH00007

  • 11. Pension transfer specialist
  • 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
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (2 Oct 2023 to 20 Nov 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 25 Feb 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 25 Feb 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 25 Feb 2022)
  • CF10 Compliance Oversight (1 Apr 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Apr 2018 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Apr 2018 to 30 Sep 2018)
  • CF1 Director (1 Jan 2018 to 8 Dec 2019)
  • CF30 Customer (25 Mar 2017 to 8 Dec 2019)
• Vanessa Gay Martin

  IRN VGM00003

  • CF1 Director (1 Dec 2001 to 1 Jun 2010)

No changes recorded yet.