Paradigm Norton Financial Planning Ltd

Date authorised
1 April 2013
Companies House
04220937
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Paradigm House
    Macrae Road
    Ham Green
    Bristol
    Avon
    BS20 0DD
    UNITED KINGDOM
    Phone
    +4401275370670
    Web
    https://www.paradigmnorton.co.uk

  • Complaints Contact

    Paradigm House
    Macrae Road
    Ham Green
    Bristol
    Avon
    BS20 0DD
    UNITED KINGDOM
    Phone
    +4402030393576

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
    • · 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 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
    • · 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.

  • Credit Brokering

  • Debt Advice

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

  • Adrian Christopher Bryant

    IRN ACB00047

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Mar 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2023)
    • CF30 Customer (9 Jan 2014 to 8 Dec 2019)
  • Alan David Fincher Brookes

    IRN ADB01218

    • CF1 Director (AR) (26 Apr 2011 to 27 Feb 2014)
  • Alan John Ashton

    IRN AJA01126

    • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
    • CF21 Investment Adviser (1 Sep 2006 to 31 Oct 2007)
  • Barry David Horner

    IRN BDH00008

    • SMF9 Chair of the Governing Body (since 1 Apr 2025)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (AR) (since 27 Sep 2010)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2023)
    • SMF1 Chief Executive (9 Dec 2019 to 1 Apr 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 1 Mar 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 5 May 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Apr 2025)
    • CF3 Chief Executive (22 Apr 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 1 Mar 2023)
    • CF21 Investment Adviser (1 Sep 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Sep 2006 to 28 Apr 2011)
    • CF10 Compliance Oversight (1 Sep 2006 to 21 May 2014)
    • CF1 Director (1 Sep 2006 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Sep 2006 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (1 Sep 2006 to 31 Oct 2007)
  • Carlton James Crabbe

    IRN CJC00058

    • CF30 Customer (1 Nov 2007 to 4 Feb 2008)
    • CF21 Investment Adviser (1 Sep 2006 to 31 Oct 2007)
  • Caroline Elizabeth Leech

    IRN CXL01169

    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2016 to 8 Dec 2019)
  • Caroline Mary Anne Rainbird

    IRN CMR01133

    • Director of firm who is not a certification employee or a SMF manager (since 1 Nov 2025)
  • Chelsea Elizabeth Holmes

    IRN CXT12712

    • 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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (24 Nov 2023 to 24 Oct 2025)
    • CF30 Customer (22 Mar 2019 to 8 Dec 2019)
  • Christopher Duncan Hart

    IRN CDH01060

    • CF1 Director (AR) (since 17 Sep 2010)
  • Clemence Claudie Denise Chatelin

    IRN CXC15508

    • [FCA CF] Functions requiring qualifications (31 Jan 2020 to 25 Dec 2021)
    • [FCA CF] Client dealing (31 Jan 2020 to 25 Dec 2021)
    • CF30 Customer (30 May 2019 to 8 Dec 2019)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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