Pelham Financial Limited

Date authorised
1 March 2018
Companies House
09870478
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Pelham Financial Limited
    100 Bishopsgate
    London
    EC2N 4AG
    UNITED KINGDOM
    Phone
    +447966662963
    Web
    https://www.pelhamfinancial.com

  • Complaints Contact

    Pelham Financial Limited
    100 Bishopsgate
    London
    EC2N 4AG
    UNITED KINGDOM
    Phone
    +447966662963

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Professional, Retail (Investment)

  • 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
    • · 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 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
    • · 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
    • · 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
    • · 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 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Ian James Brown

    IRN IXB01198

    • 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] Client dealing (since 28 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 28 Apr 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [PRA CF] Key function holder (28 Apr 2021 to 13 Aug 2021)
    • [FCA CF] Significant management (28 Apr 2021 to 13 Aug 2021)
    • Responsible for Insurance Mediation (1 Mar 2018 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (1 Mar 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Mar 2018 to 8 Dec 2019)
    • CF1 Director (1 Mar 2018 to 8 Dec 2019)
    • CF30 Customer (1 Mar 2018 to 8 Dec 2019)
  • William James Brown

    IRN WJB00005

    • 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] Client dealing (since 28 Apr 2021)
    • [FCA CF] Functions requiring qualifications (since 28 Apr 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (28 Apr 2021 to 13 Aug 2021)
    • CF1 Director (19 Feb 2019 to 8 Dec 2019)
    • CF30 Customer (19 Feb 2019 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.