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.

  • Natalie Kempster

    IRN NXH01387

    • SMF3 Executive Director (since 16 Mar 2026)
  • Nicholas Brazier

    IRN NXB01513

    • 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 22 Jul 2025)
    • [FCA CF] Client dealing (since 22 Jul 2025)
    • CF30 Customer (since 10 Jul 2025)
  • Nicholas William Riley

    IRN NWR00001

    • CF30 Customer (1 Aug 2009 to 1 Apr 2011)
  • Nigel William Hinton

    IRN NWH01011

    • CF30 Customer (2 Jul 2009 to 9 Jul 2012)
  • Norman Lynch

    IRN NXL00029

    • CF30 Customer (1 Nov 2007 to 24 Dec 2012)
    • CF21 Investment Adviser (15 Apr 2005 to 31 Oct 2007)
  • Paul Butler

    IRN PXB11503

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Nov 2022)
    • CF1 Director (AR) (18 Feb 2019 to 24 Nov 2022)
  • Paul Mark Stokes

    IRN PMS00054

    • CF3 Chief Executive (AR) (10 Jun 2024 to 7 Apr 2025)
    • [FCA CF] Functions requiring qualifications (24 Jan 2022 to 29 Nov 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 11 Jul 2023)
    • SMF16 Compliance Oversight (9 Dec 2019 to 8 Jun 2022)
    • SMF3 Executive Director (9 Dec 2019 to 7 Apr 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Jun 2022)
    • Responsibility for MCD Intermediation (29 Mar 2019 to 8 Jun 2022)
    • CF1 Director (29 Mar 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Mar 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (29 Mar 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (29 Mar 2019 to 8 Jun 2022)
  • Peter David Amos

    IRN PDA00031

    • CF30 Customer (2 Jul 2009 to 4 Jun 2014)
  • Peter Eric Curson

    IRN PXC00154

    • CF30 Customer (6 Jun 2012 to 24 Dec 2012)
  • Peter Whybrow

    IRN PXW01218

    • 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 (12 Oct 2011 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.

No changes recorded yet.