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.

  • Derek James Butterworth

    IRN DXB00046

    • CF21 Investment Adviser (29 Aug 2002 to 18 Nov 2005)
  • Derrick Jude Michael McEvoy

    IRN DJM01378

    • 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 18 Aug 2022)
    • Appointed representative dealing with clients for which they require qualification (since 18 Aug 2022)
    • CF30 Customer (since 23 May 2022)
    • CF1 Director (AR) (since 23 May 2022)
    • [FCA CF] Functions requiring qualifications (18 Aug 2022 to 24 Jun 2024)
  • Ewen Anthony Barnes

    IRN EAB00002

    • CF30 Customer (25 Sep 2014 to 18 Dec 2015)
  • Gary James Legg

    IRN GXL00225

    • 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 Nov 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Nov 2022)
  • Gary Loveless

    IRN GDL01054

    • [FCA CF] Client dealing (9 Dec 2019 to 18 Sep 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Sep 2023)
  • Hazel Marie Manley

    IRN HMM01102

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Appointed representative dealing with clients for which they require qualification (since 4 Jan 2021)
    • CF30 Customer (since 4 Jan 2021)
    • [FCA CF] Client dealing (since 4 Jan 2021)
  • Helen Sara Kanolik

    IRN HSK00002

    • CF30 Customer (6 Jul 2009 to 30 Dec 2009)
  • Ian Richard Chambers

    IRN IRC01045

    • [FCA CF] Manager of certification employee (11 Aug 2022 to 18 Nov 2024)
    • [FCA CF] Client dealing (13 Sep 2021 to 18 Nov 2024)
    • [FCA CF] Functions requiring qualifications (13 Sep 2021 to 18 Nov 2024)
  • Isabel Ann Elizabeth Sinclair

    IRN IAS00018

    • SMF3 Executive Director (9 Dec 2019 to 9 Jan 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (13 Sep 2005 to 31 Oct 2007)
    • CF1 Director (13 Sep 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (13 Sep 2005 to 31 Oct 2007)
  • James Kempe Lewis

    IRN JKL00005

    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 11 Oct 2021)
    • [FCA CF] Manager of certification employee (6 Mar 2023 to 17 Nov 2025)
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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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