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.

  • James Rivers

    IRN JXR78737

    • 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 30 Jan 2024)
    • Appointed representative dealing with clients for which they require qualification (since 30 Jan 2024)
    • CF30 Customer (since 15 Jan 2024)
    • [FCA CF] Functions requiring qualifications (30 Jan 2024 to 18 Jun 2024)
  • James Walter Child

    IRN JWC00025

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • Appointed representative dealing with clients for which they require qualification (since 30 Jan 2024)
    • [FCA CF] Client dealing (since 30 Jan 2024)
    • CF30 Customer (since 15 Jan 2024)
    • [FCA CF] Functions requiring qualifications (30 Jan 2024 to 18 Jun 2024)
  • Jason Georgiou

    IRN JXG00001

    • 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
    • CF30 Customer (since 4 Jan 2021)
    • [FCA CF] Client dealing (since 4 Jan 2021)
    • Appointed representative dealing with clients for which they require qualification (since 4 Jan 2021)
    • CF1 Director (AR) (since 4 Jan 2021)
  • Jill Brooks

    IRN JXB00218

    • CF30 Customer (1 Nov 2007 to 28 Dec 2007)
    • CF21 Investment Adviser (15 May 2007 to 31 Oct 2007)
  • John Charles Skipton

    IRN JCS01221

    • 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 (8 Sep 2014 to 8 Dec 2019)
  • John Paul Kawalek

    IRN JPK01089

    • CF1 Director (AR) (29 Oct 2015 to 31 Jan 2019)
  • Jonathan Anthony Ellis

    IRN JAE00003

    • CF30 Customer (1 Nov 2007 to 27 Feb 2014)
    • CF21 Investment Adviser (15 Dec 2004 to 31 Oct 2007)
  • Joseph Patrick McDonald

    IRN JPM00053

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2022)
    • CF30 Customer (9 Jan 2008 to 8 Dec 2019)
  • Justin Troy Wiggins

    IRN JTW00011

    • CF30 Customer (1 Jul 2009 to 14 Dec 2009)
  • Keith Robert Meredith

    IRN KRM00009

    • CF21 Investment Adviser (1 Mar 2004 to 14 Mar 2006)
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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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