O'Sullivan Financial Planning Ltd

Date authorised
1 October 2021
Companies House
11095517
Last scraped
5 days ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Top Barn One
    Lamport Manor
    Old Road
    Lamport
    Northampton
    Northamptonshire
    NN6 9HF
    UNITED KINGDOM
    Phone
    +4401536639007
    Web
    https://osullivanfp.co.uk

  • Complaints Contact

    Top Barn One
    Lamport Manor
    Old Road
    Lamport
    Northampton
    Northamptonshire
    NN6 9HF
    UNITED KINGDOM
    Phone
    +4401536639007

What this firm is allowed to do

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

  • 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 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

    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.

  • Authorised to Operate

    Show 1 limitation
    • · 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

    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.

  • 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.

  • Conor O'Sullivan

    IRN CXO01104

    • 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 1 Oct 2021)
    • Responsible for Insurance Distribution (since 1 Oct 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Oct 2021)
    • SMF3 Executive Director (since 1 Oct 2021)
    • [FCA CF] Client dealing (since 1 Oct 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2021)
  • James Alan Mousley

    IRN JAM01437

    • [FCA CF] Client dealing (14 Nov 2022 to 10 Nov 2023)
    • [FCA CF] Functions requiring qualifications (14 Nov 2022 to 10 Nov 2023)
  • Jeremy Bernard Pooley

    IRN JBP01061

    • 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 8 Dec 2023)
    • [FCA CF] Functions requiring qualifications (since 8 Dec 2023)
  • Laurence Nicholas Shaun Murphy

    IRN LNM01026

    • 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 19 Sep 2022)
    • [FCA CF] Functions requiring qualifications (since 19 Sep 2022)
  • Taisha Kim Betz

    IRN TXB07320

    • 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 1 Dec 2024)
    • [FCA CF] Client dealing (since 1 Dec 2024)

Recent activity

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

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