Padstone Financial Management Limited

• Principal Place of Business

  Padstone Financial Management Ltd

  Unit 5

  Whitestone Business Park

  Whitestone

  Hereford

  Herefordshire, County Of

  HR1 3SE

  UNITED KINGDOM

  Phone

  +4401432820710

  Web

  https://www.padstone-fm.co.uk

• Complaints Contact

  Unit 5

  Whitestone Business Park

  Whitestone

  Hereford

  Herefordshire

  HR1 3SE

  UNITED KINGDOM

  Phone

  +4401432820710

• P2P Lending Advice

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Retail (Investment), Life Policy, Personal pension scheme, 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, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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.

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling which is provided in connection with investment, Pensions and mortgage advice.
  • · 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, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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.

• Carl Horton

  IRN CXH00752

  • [FCA CF] Client dealing (1 Jan 2024 to 1 Jan 2024)
  • [FCA CF] Functions requiring qualifications (1 Jan 2024 to 1 Jan 2024)
• David Hewitt

  IRN DXH00037

  • [FCA CF] Client dealing (since 9 Dec 2019)
• James John Jenkins

  IRN JXJ00352

  • [FCA CF] Functions requiring qualifications (10 Apr 2024 to 23 Feb 2026)
  • [FCA CF] Client dealing (10 Apr 2024 to 23 Feb 2026)
• Mark Anthony Young

  IRN MAY00002

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (2 Jun 2005 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (2 Jun 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (2 Jun 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (2 Jun 2005 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Jun 2005 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (2 Jun 2005 to 31 Mar 2009)
  • CF1 Director (2 Jun 2005 to 8 Dec 2019)

No changes recorded yet.