Paragon Financial Partners LLP

• Principal Place of Business

  Paragon Financial Partners LLP

  Unit 4, Pavilion Business Park

  Royds Hall Road

  LEEDS

  West Yorkshire

  LS12 6AJ

  UNITED KINGDOM

  Phone

  +441138630100

  Web

  https://www.paragonfp.co.uk

• Complaints Contact

  Paragon Financial Partners LLP

  Unit 4, Pavilion Business Park

  Royds Hall Road

  LEEDS

  West Yorkshire

  LS12 6AJ

  UNITED KINGDOM

  Phone

  +441138630100

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, 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

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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, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, 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

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  • · 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, 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 Score Services

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  • · This permission is limited to not carrying out credit repair services

• Christopher Julian Albertyn Heap

  IRN CJH00004

  • 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)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
  • CF4 Partner (4 Jan 2016 to 8 Dec 2019)
• Colin David Ormston

  IRN CDO00002

  • 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 4 Jan 2022)
  • [FCA CF] Client dealing (since 4 Jan 2022)
  • CF30 Customer (4 Jan 2016 to 12 Apr 2019)
• Gregory Peter O'Sullivan

  IRN GPO00003

  • 11. Pension transfer specialist
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Sep 2023)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
  • CF4 Partner (4 Jan 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 Jan 2016 to 8 Dec 2019)
• Marcos Alberto Diaz-Sanchez

  IRN MXD00021

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Jan 2024)
  • SMF27 Partner (9 Dec 2019 to 13 Feb 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 5 Mar 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Mar 2024)
  • CF11 Money Laundering Reporting (4 Jan 2016 to 8 Dec 2019)
  • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
  • CF4 Partner (4 Jan 2016 to 8 Dec 2019)
• Peter Sedgwick

  IRN PXS00003

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF27 Partner (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)
  • Responsible for Insurance Mediation (4 Jan 2016 to 30 Sep 2018)
  • CF30 Customer (4 Jan 2016 to 8 Dec 2019)
  • CF4 Partner (4 Jan 2016 to 8 Dec 2019)
• Surinder Singh Gosal

  IRN SXG00033

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (4 Jan 2016 to 8 Dec 2019)

No changes recorded yet.