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

  Show 2 limitations Hide 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 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.

• 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.

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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 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.

• Ruth Eileen Sturkey

  IRN REH00024

  • Director of firm who is not a certification employee or a SMF manager (1 Apr 2021 to 31 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2021)
  • CF30 Customer (12 Dec 2017 to 8 Dec 2019)
• Sally Louise Matthews

  IRN SLM00026

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (5 Nov 2018 to 8 Dec 2019)
• Samuel David Holmes

  IRN SDH01155

  • [FCA CF] Client dealing (9 Dec 2019 to 27 Aug 2021)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 27 Aug 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Aug 2021)
  • CF30 Customer (5 Feb 2018 to 27 Aug 2021)
• Sean Seccombe

  IRN SXS00012

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Sep 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Sep 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Sep 2006 to 31 Oct 2007)
• Shirley Joy Tull

  IRN SJT01244

  • CF1 Director (AR) (30 Apr 2014 to 17 Dec 2019)
• Simon David Livings

  IRN SDL01042

  • 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 22 Mar 2021)
  • [FCA CF] Client dealing (since 22 Mar 2021)
• Steven Williams

  IRN SXW01999

  • CF30 Customer (19 Jan 2015 to 29 Nov 2019)
• Stuart Matthew Lee Pillinger

  IRN SMP01138

  • CF30 Customer (1 Nov 2007 to 7 Aug 2013)
  • CF22 Investment Adviser (Trainee) (14 Sep 2007 to 31 Oct 2007)
• Thomas Desborough

  IRN TXD01367

  • 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
  • 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
  • Appointed representative dealing with clients for which they require qualification (since 6 Dec 2023)
  • CF30 Customer (since 16 Aug 2023)
  • [FCA CF] Client dealing (since 3 Aug 2022)
  • [FCA CF] Functions requiring qualifications (since 3 Aug 2022)
• Thomas Watson

  IRN TXW01328

  • 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] Manager of certification employee (since 9 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (12 Dec 2017 to 8 Dec 2019)

• 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.