Paterson Financial Planning Ltd

• Principal Place of Business

  Paterson Financial Planning Ltd

  3/1 21 Blythswood Square

  Glasgow

  Glasgow City

  G2 4BL

  UNITED KINGDOM

  Phone

  +4401412210033

  Web

  https://www.patersonfp.co.uk

• Complaints Contact

  Paterson Financial Planning Ltd

  3/1 21 Blythswood Square

  Glasgow

  Glasgow City

  G2 4BL

  UNITED KINGDOM

  Phone

  +4401412210033

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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.

• 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, 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.

• 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, 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, Spread Bet, 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.

• Damien Kenneth Paterson

  IRN DKP01024

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 11. Pension transfer specialist
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (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)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (31 Aug 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (31 Aug 2004 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (31 Aug 2004 to 31 Oct 2007)
  • CF1 Director (31 Aug 2004 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (31 Aug 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (31 Aug 2004 to 8 Dec 2019)
• Gillian Paterson

  IRN GXP01244

  • CF1 Director (31 Aug 2004 to 20 Nov 2019)
• John Cole

  IRN JXC02098

  • CF30 Customer (20 May 2015 to 3 Jun 2016)
• Lesley Elizabeth Wilkie

  IRN LEH01022

  • [FCA CF] Functions requiring qualifications (16 Oct 2023 to 15 Oct 2024)
  • [FCA CF] Client dealing (16 Oct 2023 to 15 Oct 2024)
• Natalie Mary Donnell

  IRN NMD01063

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Dec 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2021)
  • CF30 Customer (6 Dec 2017 to 8 Dec 2019)
• Richard Farquhar

  IRN RXF01541

  • 11. Pension transfer specialist
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 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 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (4 Dec 2018 to 8 Dec 2019)
  • CF30 Customer (22 Oct 2018 to 8 Dec 2019)
• Ronald Bradford Paterson

  IRN RBP00006

  • CF30 Customer (1 Nov 2007 to 30 Dec 2007)
  • CF21 Investment Adviser (12 Oct 2004 to 31 Oct 2007)

No changes recorded yet.