Pegasus Portfolio Planning LLP

• Principal Place of Business

  31-33

  Stramongate

  Kendal

  Cumbria

  LA9 4BL

  UNITED KINGDOM

  Phone

  +4401539740869

  Web

  https://www.pegasuspp.co.uk

• Complaints Contact

  31-33

  Stramongate

  Kendal

  Cumbria

  LA9 4BL

  UNITED KINGDOM

  Phone

  +4401539740869

• Buy-to-Let Mortgage Admin

• 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 2 limitations Hide limitations

  • · 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

  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 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

  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 Negotiation

• Debt Advice

• 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

  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.

• Anil Rai

  IRN AXR00022

  • CF30 Customer (23 Mar 2016 to 19 Oct 2017)
• Arthur William Stuart Mills

  IRN AWM00005

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (14 Jan 2008 to 30 Sep 2009)
• Deborah Carter

  IRN DAT00032

  • CF1 Director (AR) (3 Oct 2006 to 29 Oct 2007)
• Duncan Carter

  IRN DXC00036

  • CF21 Investment Adviser (3 Oct 2006 to 29 Oct 2007)
  • CF1 Director (AR) (3 Oct 2006 to 29 Oct 2007)
• Elizabeth Parry

  IRN EXP01079

  • CF4 Partner (26 Jan 2006 to 5 May 2006)
  • CF21 Investment Adviser (26 Jan 2006 to 13 Jun 2006)
• Graeme Walters

  IRN GXW00004

  • CF30 Customer (14 Jan 2008 to 31 May 2011)
• Harris Bokhari

  IRN HXB01177

  • CF21 Investment Adviser (23 Apr 2007 to 29 Oct 2007)
  • CF4 Partner (AR) (23 Apr 2007 to 29 Oct 2007)
• Hayley Owen

  IRN HXO01061

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Mar 2020)
  • SMF27 Partner (9 Dec 2019 to 31 Mar 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2020)
  • CF4 Partner (26 Jan 2006 to 8 Dec 2019)
  • CF10 Compliance Oversight (26 Jan 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (26 Jan 2006 to 8 Dec 2019)
• James Robinson

  IRN JXR00073

  • CF30 Customer (7 Sep 2009 to 21 Dec 2012)
• Jan Harold Kempson

  IRN JXK00004

  • CF30 Customer (4 Jan 2013 to 30 Jun 2014)

• Paul Foster Financial Planning Limited (no longer appointed)

  FRN 598327 · Appointed 2 Apr 2013 · Until 31 Jul 2015

• 442 Finance LTD (no longer appointed)

  FRN 477481 · Appointed 10 Jan 2008 · Until 31 May 2011

• White Ox Financial Services Ltd (no longer appointed)

  FRN 477485 · Appointed 10 Jan 2008 · Until 30 Sep 2009

• RWP Consulting (no longer appointed)

  FRN 474307 · Appointed 25 Oct 2007 · Until 27 Sep 2023

• Ascension Wealth Mgt LLP (no longer appointed)

  FRN 466694 · Appointed 16 Apr 2007 · Until 15 Oct 2007

• Clearwater Financial Planning (Kirkham) Ltd (no longer appointed)

  FRN 457668 · Appointed 25 Sep 2006 · Until 30 Sep 2007

No changes recorded yet.