P K Financial Limited

• Principal Place of Business

  Albion House

  23 Rectory Grove

  Croydon

  CR0 4JA

  UNITED KINGDOM

  Phone

  +4402086814994

  Web

  https://www.pkpartnership.co.uk

• Complaints Contact

  Albion House

  23 Rectory Grove

  Croydon

  CR0 4JA

  UNITED KINGDOM

  Phone

  +4402086814994

• 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

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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), 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 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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

  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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• Debt Advice

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  • · 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 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.

• Carmel Jones

  IRN CXJ00095

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Gina Gasparino

  IRN GXG00256

  • 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] Client dealing (since 13 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 13 Jul 2023)
• Heeral Patel

  IRN HXP01121

  • CF30 Customer (12 Aug 2009 to 5 Feb 2013)
• Jonathan Michael Kelly

  IRN JMK01073

  • 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)
  • 9A. Advising on P2P agreements
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • CF30 Customer (since 19 Mar 2020)
  • CF4 Partner (AR) (since 19 Mar 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 8 Dec 2017)
  • CF11 Money Laundering Reporting (7 Oct 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (7 Oct 2013 to 8 Dec 2019)
  • CF30 Customer (20 Jan 2009 to 8 Dec 2019)
  • CF1 Director (20 Jan 2009 to 8 Dec 2019)
• Prakash Khodabhai Patel

  IRN PKP00001

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (20 Jan 2009 to 5 Feb 2013)
  • Responsible for Insurance Mediation (20 Jan 2009 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (20 Jan 2009 to 31 Mar 2009)
  • CF1 Director (20 Jan 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (20 Jan 2009 to 16 Sep 2013)
  • CF11 Money Laundering Reporting (20 Jan 2009 to 7 Dec 2017)
• Rupal Patel

  IRN RXP00297

  • [FCA CF] Functions requiring qualifications (4 May 2021 to 31 Dec 2021)

• PK Paraspara LLP (no longer appointed)

  FRN 918930 · Appointed 3 Jan 2020 · Until 21 Mar 2023

No changes recorded yet.