Parallel Financial Limited

• Principal Place of Business

  5 Plaza Gardens

  London

  SW15 2DT

  UNITED KINGDOM

  Phone

  +442088741230

  Web

  http://www.parallelfinancial.co.uk

• Complaints Contact

  5 Plaza Gardens

  London

  SW15 2DT

  UNITED KINGDOM

  Phone

  +442088741230

• 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 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 1 limitation 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 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

• 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

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• 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

• Alfred James MacDonald Fraser

  IRN AXF00301

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 25 Oct 2021)
  • [FCA CF] Client dealing (since 25 Oct 2021)
• Andrew James Watt

  IRN AJW01626

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 20 Oct 2025)
  • [FCA CF] Functions requiring qualifications (since 20 Oct 2025)
• Caroline Norris

  IRN CXN00049

  • SMF3 Executive Director (9 Apr 2021 to 28 Nov 2024)
• David Andrew Robert Cartwright

  IRN DAC01274

  • CF30 Customer (10 Jul 2013 to 31 Dec 2014)
• Malcolm David Lyons

  IRN MDL00021

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Responsible for Insurance Distribution (since 13 Nov 2023)
  • SMF3 Executive Director (since 13 Nov 2023)
  • SMF16 Compliance Oversight (since 13 Nov 2023)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 3 May 2016)
  • CF1 Director (AR) (since 11 Sep 2015)
  • CF30 Customer (since 1 Nov 2007)
  • Responsible for Insurance Mediation (1 Dec 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (1 Dec 2005 to 31 Mar 2009)
  • CF1 Director (1 Dec 2005 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2005 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2005 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2005 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2005 to 8 Dec 2019)
• Rebecca Catherine Jones

  IRN RCJ00016

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)

• Parallel Employee Benefits Limited (no longer appointed)

  FRN 971080 · Appointed 3 Mar 2022 · Until 24 May 2024

• LGS Investments (London) Limited (no longer appointed)

  FRN 712072 · Appointed 30 Jul 2015 · Until 1 Feb 2022

No changes recorded yet.