PERSONAL FINANCIAL PLANNING LIMITED

• Principal Place of Business

  Personal Financial Planning Ltd

  6 Whiteside

  Station Road

  Holmes Chapel

  Crewe

  Cheshire East

  CW4 8AA

  UNITED KINGDOM

  Phone

  +4401270759786

  Web

  https://www.pfp.co.uk

• Complaints Contact

  Personal Financial Planning Ltd

  6 Whiteside

  Station Road

  Holmes Chapel

  Crewe

  Cheshire East

  CW4 8AA

  UNITED KINGDOM

  Phone

  +4401270759786

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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.

• 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

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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.

• Stockbroking

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

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management 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 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.

• David Richard Thomas Winward

  IRN DRW01147

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (5 Jan 2018 to 8 Dec 2019)
• Graham Peter Levy

  IRN GPL00004

  • Responsible for Insurance Mediation (14 Jan 2005 to 31 Oct 2006)
  • CF1 Director (1 Dec 2001 to 31 Oct 2006)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Mar 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2006)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Mar 2005)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Mar 2005)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 1 Nov 2006)
• Ian George Gunn

  IRN IGG00006

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jul 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (15 Aug 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (30 May 2005 to 15 Aug 2005)
• Ian Phillip Rowe

  IRN IPR01014

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (3 May 2007 to 31 Oct 2007)
• James Ryan Rooney

  IRN JRR01048

  • [FCA CF] Client dealing (4 Jan 2021 to 28 Jun 2022)
  • [FCA CF] Functions requiring qualifications (4 Jan 2021 to 28 Jun 2022)
  • CF30 Customer (15 Jul 2013 to 6 Dec 2018)
• Lesley Young

  IRN LXY01015

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (1 Mar 2005 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Mar 2005 to 8 Dec 2019)
• Michaela Ryan

  IRN MXG01656

  • 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 23 Aug 2021)
  • [FCA CF] Functions requiring qualifications (since 23 Aug 2021)
• Natasha Jade Hellewell

  IRN NJH01242

  • 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 21 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 21 Jul 2023)
• Nicholas Francis Porter

  IRN NXP15260

  • 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 23 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 23 Jan 2023)
• Richard Jon Cropper

  IRN RJC00033

  • 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
  • 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)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (31 Oct 2006 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (1 Mar 2005 to 31 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)

No changes recorded yet.