PFM Associates Limited

Date authorised
1 April 2013
Companies House
03871403
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Quay House
    7 The Quay
    Poole
    Dorset
    BH15 1HA
    UNITED KINGDOM
    Phone
    +4401202673456
    Web
    https://www.pfmassociates.co.uk

  • Complaints Contact

    Quay House
    7 The Quay
    Poole
    Dorset
    BH15 1HA
    UNITED KINGDOM
    Phone
    +4401202673456

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • Pension Transfer Advice

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

    Show 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
    • · 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
    • · 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

    For Professional, Retail (Investment)

    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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Arranges Asset Safekeeping

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

  • Insurance Admin

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

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Debt Advice

    Show 2 limitations
    • · This permission is limited to debt counselling with no debt management activity
    • · This permission is limited to debt counselling which is provided in connection with financial planning advice and/or mortgage/buy-to-let mortgage 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
    • · 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.

  • Credit Score Services

    Show 1 limitation
    • · This permission is limited to not carrying out credit repair services

Approved individuals

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

  • Christian Gallo-Cornish

    IRN CFG01029

    • [FCA CF] Client dealing (28 Mar 2022 to 2 Jul 2025)
    • [FCA CF] Functions requiring qualifications (28 Mar 2022 to 2 Jul 2025)
  • Christine Ann Paul

    IRN CAP01168

    • CF1 Director (30 Mar 2017 to 2 Apr 2019)
  • Christopher Eastment

    IRN CAE00021

    • 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 20 Mar 2024)
    • [FCA CF] Functions requiring qualifications (since 20 Mar 2024)
  • Christopher Hughes

    IRN CXH22266

    • 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
    • Appointed representative dealing with clients for which they require qualification (since 13 May 2024)
    • CF30 Customer (since 13 May 2024)
    • [FCA CF] Client dealing (since 13 May 2024)
  • Christopher Paul

    IRN CXP00002

    • SMF3 Executive Director (9 Dec 2019 to 15 Dec 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 2 Apr 2019)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 2 Apr 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Feb 2005 to 30 Sep 2018)
    • CF1 Director (29 Aug 2002 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (29 Aug 2002 to 31 Mar 2009)
    • CF21 Investment Adviser (29 Aug 2002 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (29 Aug 2002 to 2 Apr 2019)
    • CF10 Compliance Oversight (29 Aug 2002 to 2 Apr 2019)
    • CF24 Pension Transfer Specialist (29 Aug 2002 to 31 Oct 2007)
  • Clare Diane Vickers

    IRN CDW00023

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Craig Richard Stokes

    IRN CRS00033

    • SMF3 Executive Director (28 Aug 2024 to 3 Jun 2025)
    • [FCA CF] Manager of certification employee (22 Aug 2024 to 30 May 2025)
    • [FCA CF] Client dealing (6 Aug 2024 to 30 May 2025)
    • [FCA CF] Functions requiring qualifications (6 Aug 2024 to 30 May 2025)
  • Daniel Alexander William Old

    IRN DAO01030

    • CF30 Customer (11 Nov 2011 to 29 Jul 2019)
  • David Fletcher Green

    IRN DFG00002

    • CF21 Investment Adviser (13 Sep 2005 to 10 Dec 2005)
  • David Venditti

    IRN DXV01043

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Jul 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 21 Jul 2023)
    • CF30 Customer (2 Apr 2012 to 8 Dec 2019)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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