Perrett & Co. Financial Services Limited

• Principal Place of Business

  Perrett & Co Financial Services Ltd

  Limehurst House

  Bridge Street

  Loughborough

  Leicestershire

  LE11 1NH

  UNITED KINGDOM

  Phone

  +4401509215095

  Web

  https://www.perrettandco.com

• Complaints Contact

  Perrett & Co Financial Services Ltd

  Limehurst House

  Bridge Street

  Loughborough

  Leicestershire

  LE11 1NH

  UNITED KINGDOM

  Phone

  +4401509215095

• 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

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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, 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

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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

• Insurance Admin

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

• 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, 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.

• Anthony Scott Charlish

  IRN ASC00006

  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2002)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 31 Dec 2002)
  • CF10 Compliance Oversight (1 Dec 2001 to 31 Dec 2002)
  • CF1 Director (1 Dec 2001 to 31 Dec 2002)
• Ashley James Waldron

  IRN AJW01315

  • CF21 Investment Adviser (7 Jun 2004 to 31 Mar 2006)
  • CF22 Investment Adviser (Trainee) (7 Mar 2002 to 30 Aug 2002)
• Heather Mary Yates

  IRN HXY00004

  • 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)
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
  • [FCA CF] Client dealing (since 7 Dec 2020)
• Jemma Louise King

  IRN JXK16314

  • CF30 Customer (25 Jun 2019 to 8 Dec 2019)
• Kathryn Emma Davey

  IRN KED00003

  • CF21 Investment Adviser (27 May 2002 to 17 Mar 2003)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 27 May 2002)
• Kevin Neil Moody

  IRN KNM00007

  • CF21 Investment Adviser (1 Dec 2001 to 14 Jun 2002)
• Roger Michael Ivor Perrett

  IRN RMP00010

  • 11. Pension transfer specialist
  • 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)
  • [FCA CF] Client dealing (since 7 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 20 Oct 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (20 Jan 2003 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (20 Jan 2003 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
• Ross Cherry

  IRN RXC00169

  • 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 7 Dec 2020)
  • [FCA CF] Client dealing (since 7 Dec 2020)
• Samuel George John Wright

  IRN SXW00165

  • [FCA CF] Functions requiring qualifications (7 Dec 2020 to 30 Aug 2021)
  • [FCA CF] Client dealing (7 Dec 2020 to 31 Aug 2021)
• Tanya Perrett

  IRN TXP01497

  • 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] Functions requiring qualifications (since 7 Dec 2020)
  • [FCA CF] Client dealing (since 7 Dec 2020)
  • CF30 Customer (14 Jun 2017 to 8 Dec 2019)

No changes recorded yet.