Palm Financial Care Limited

• Principal Place of Business

  Palm House

  14 Ashton Drive

  Nelson

  Lancashire

  BB9 0UA

  UNITED KINGDOM

  Phone

  +4407815290392

  Web

  https://www.palmfc.com

• Complaints Contact

  Palm House

  14 Ashton Drive

  Nelson

  Lancashire

  BB9 0UA

  UNITED KINGDOM

  Phone

  +4407815290392

• 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 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 Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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”.

• 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.

• Christopher George Chetwood

  IRN CGC01067

  • CF1 Director (AR) (6 Aug 2015 to 20 Jun 2016)
• Douglas Watt Dugdale

  IRN DWD01043

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [PRA CF] Key function holder (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (since 2 Sep 2016)
  • CF1 Director (AR) (since 17 May 2013)
  • CF1 Director (20 Aug 2007 to 8 Dec 2019)
• Elizabeth Faye

  IRN EXF01094

  • 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 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF1 Director (AR) (since 8 May 2013)
  • CF30 Customer (since 1 Nov 2007)
  • CF11 Money Laundering Reporting (20 Aug 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (20 Aug 2007 to 31 Oct 2007)
  • Responsible for Insurance Mediation (20 Aug 2007 to 30 Sep 2018)
  • CF1 Director (20 Aug 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (20 Aug 2007 to 31 Mar 2009)
  • CF10 Compliance Oversight (20 Aug 2007 to 8 Dec 2019)
• Helen Broughton

  IRN HXB01481

  • CF1 Director (AR) (10 Apr 2015 to 8 Sep 2015)
• Iain David Crawford

  IRN IDC00012

  • CF30 Customer (7 Nov 2013 to 29 Jul 2015)
• Janet Maggs

  IRN JXM03090

  • CF30 Customer (7 Dec 2014 to 31 Aug 2016)
• John Oswald Boyle

  IRN JOB00001

  • CF30 Customer (11 Aug 2015 to 5 Feb 2019)
• Paula Malkin Kershaw

  IRN PMK01045

  • [PRA CF] Key function holder (since 9 Dec 2019)
  • CF1 Director (AR) (since 15 Oct 2015)
• Robert Andrew Kenmare

  IRN RAK01052

  • CF1 Director (AR) (30 Dec 2014 to 8 Sep 2015)

• Alston Hill Limited

  FRN 680093 · Appointed 30 Mar 2015

• Carepal Assist Limited

  FRN 599316 · Appointed 15 Apr 2013

• Piggibanx Limited (no longer appointed)

  FRN 791393 · Appointed 12 Oct 2017 · Until 5 Feb 2019

• Danbro Financial Services Limited (no longer appointed)

  FRN 658616 · Appointed 8 Dec 2014 · Until 31 Oct 2017

• The Wealth Surgery Limited (no longer appointed)

  FRN 629684 · Appointed 5 Aug 2014 · Until 20 Mar 2015

• Vincents Financial Limited (no longer appointed)

  FRN 610503 · Appointed 19 Nov 2013 · Until 5 Oct 2017

No changes recorded yet.