OPUS Independent Financial Planning Limited

Date authorised
1 November 2010
Companies House
07304649
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Opus Independent Financial Planning Ltd
    1 Coleshill Street
    Sutton Coldfield
    Birmingham
    B72 1SD
    UNITED KINGDOM
    Phone
    +441213544034
    Web
    https://www.opus-ifp.com

  • Complaints Contact

    Opus Independent Financial Planning Ltd
    1 Coleshill Street
    Sutton Coldfield
    Birmingham
    B72 1SD
    UNITED KINGDOM
    Phone
    +4401213544034

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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 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 2 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.
    • · 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 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
    • · 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
    • · 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

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management activity

  • 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Andrew John Downes

    IRN AXD00359

    • [FCA CF] Client dealing (25 Mar 2021 to 30 Sep 2022)
    • [FCA CF] Functions requiring qualifications (25 Mar 2021 to 30 Sep 2022)
  • Benjamin James Rees

    IRN BJR01053

    • 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
    • CF1 Director (AR) (since 11 Mar 2024)
    • CF30 Customer (since 11 Mar 2024)
    • [FCA CF] Manager of certification employee (since 27 Feb 2024)
    • [FCA CF] Client dealing (since 23 Nov 2022)
    • [FCA CF] Functions requiring qualifications (since 22 Nov 2022)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF16 Compliance Oversight (9 Dec 2019 to 27 Jan 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Jan 2025)
    • CF1 Director (AR) (19 Oct 2012 to 30 Nov 2016)
    • Responsible for Insurance Mediation (5 Jul 2012 to 30 Sep 2018)
    • CF1 Director (1 Nov 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Nov 2010 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2010 to 31 May 2020)
  • Christopher Charles Broome

    IRN CCB01083

    • CF30 Customer (24 Nov 2014 to 5 Jun 2015)
    • CF1 Director (AR) (15 Oct 2012 to 5 Jun 2015)
  • Christopher David Wise

    IRN CDW01053

    • CF30 Customer (21 Apr 2017 to 11 Jun 2018)
  • Christopher Flower

    IRN CXF01301

    • CF30 Customer (3 Aug 2015 to 21 Feb 2018)
  • David James Lewis Smith

    IRN DJS00133

    • 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
    • Appointed representative dealing with clients for which they require qualification (since 25 Mar 2021)
    • CF1 Director (AR) (since 26 Jan 2021)
    • CF30 Customer (since 12 Sep 2018)
  • Derek Peter Joseph

    IRN DPJ00017

    • CF30 Customer (17 May 2018 to 8 Dec 2019)
  • Dominic Paul Johnson

    IRN DXJ00125

    • [FCA CF] Client dealing (25 Mar 2021 to 31 Jan 2024)
    • [FCA CF] Functions requiring qualifications (25 Mar 2021 to 31 Jan 2024)
  • Jason Knowles

    IRN JXK01757

    • CF30 Customer (3 Sep 2018 to 8 Dec 2019)
  • Jillian Mary Jones

    IRN JMJ01050

    • CF1 Director (AR) (14 May 2015 to 30 Nov 2016)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

Updates to this firm's record on the FCA register.

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