Paradigm Norton Financial Planning Ltd

• 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

• 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 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

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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, 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

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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 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

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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.

• Kevin John Gregory

  IRN KJG01047

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 1 Apr 2023)
  • CF2 Non Executive Director (9 Jul 2014 to 8 Dec 2019)
• Lee John Dunn

  IRN LJD01029

  • 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] Functions requiring qualifications (since 11 Nov 2025)
  • [FCA CF] Client dealing (since 11 Nov 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 11 May 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Nov 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 7 Nov 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Sep 2006 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Sep 2006 to 31 Oct 2007)
• Lesley Gail Haworth

  IRN LGH01012

  • CF30 Customer (17 Sep 2010 to 5 May 2011)
• Linda Ashurst

  IRN LXA01069

  • CF30 Customer (1 Nov 2007 to 31 Oct 2009)
  • CF21 Investment Adviser (1 Sep 2006 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Sep 2006 to 31 Oct 2007)
• Lisa Holden

  IRN LXH00094

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 27 Nov 2020)
• Martin Lee Ruskin

  IRN MNR00002

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (AR) (since 15 Aug 2016)
  • CF30 Customer (since 17 Sep 2010)
  • CF30 Customer (31 Jul 2010 to 4 Aug 2010)
• Matthew James Kneller

  IRN MJK01109

  • CF30 Customer (1 Nov 2007 to 30 Sep 2012)
  • CF21 Investment Adviser (1 Sep 2006 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Sep 2006 to 31 Oct 2007)
• Matthew John Goddard

  IRN MJG01373

  • 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
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (3 Apr 2018 to 8 Dec 2019)
• Matthew Paul Fowler

  IRN MPF01028

  • 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)
  • CF11 Money Laundering Reporting (1 Feb 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Feb 2014 to 8 Dec 2019)
  • CF1 Director (5 Nov 2013 to 8 Dec 2019)
• Mia Smith

  IRN MXS02748

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Functions requiring qualifications (since 24 Nov 2023)
  • [FCA CF] Client dealing (since 24 Nov 2023)

• Wollen Michelmore Financial Planning Ltd

  FRN 400890 · Appointed 17 Sep 2010

• Direction Financial Planning LLP (no longer appointed)

  FRN 602039 · Appointed 31 May 2013 · Until 10 Oct 2013

No changes recorded yet.