PFPNI LTD

• Principal Place of Business

  3b Heron Wharf, Heron Road

  Belfast

  County Antrim

  BT3 9LE

  UNITED KINGDOM

  Phone

  +442890467467

• Complaints Contact

  Jim Hughes

  3b Heron Wharf, Heron Road

  Belfast

  BT3 9LE

  UNITED KINGDOM

  Phone

  +442890467467

• P2P Lending Advice

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

• Pension Transfer Advice

  For Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

  Show 2 limitations Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Credit Brokering

• Debt Advice

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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.

• Brendan Gerard Wilson

  IRN BGW00002

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 24 Jan 2024)
  • CF30 Customer (14 Nov 2014 to 11 Jan 2016)
• Clement Lyndon Kernaghan

  IRN CLK00003

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 12 May 2021)
• Darren Magee

  IRN DXM00371

  • [FCA CF] Client dealing (11 Mar 2021 to 23 Apr 2021)
  • [FCA CF] Functions requiring qualifications (11 Mar 2021 to 23 Apr 2021)
• Fergus Eugene Donnelly

  IRN FED00004

  • CF30 Customer (16 Sep 2013 to 21 Mar 2016)
• Gary James McKinstry

  IRN GJM00035

  • CF30 Customer (5 Dec 2014 to 8 Nov 2019)
• James Patrick Hughes

  IRN JPH00039

  • SMF16 Compliance Oversight (since 13 May 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 May 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF10 Compliance Oversight (19 Aug 2013 to 21 Sep 2016)
  • CF1 Director (19 Aug 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (19 Aug 2013 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (19 Aug 2013 to 21 Sep 2016)
• Kieran Gerard McCarney

  IRN KGM01021

  • CF30 Customer (19 Aug 2013 to 2 Dec 2013)
• Michael John Paul Rock

  IRN MJR00130

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 4 Feb 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 4 Feb 2021)
  • CF11 Money Laundering Reporting (9 Sep 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 Sep 2016 to 8 Dec 2019)
  • CF30 Customer (7 Feb 2014 to 8 Dec 2019)
• Paul Dixon

  IRN PXD00099

  • CF30 Customer (9 Feb 2015 to 3 Dec 2015)
• Peter Anthony Gallagher

  IRN PAG00041

  • CF30 Customer (13 Feb 2015 to 8 Sep 2016)

No changes recorded yet.