Philpott Financial Limited

Date authorised
12 November 2020
Companies House
12283391
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    18 Commercial Road
    Skelmanthorpe
    Huddersfield
    Kirklees
    HD8 9DA
    UNITED KINGDOM
    Phone
    +441484767787
    Web
    https://www.philpottfinancial.com

  • Complaints Contact

    18 Commercial Road
    Skelmanthorpe
    Huddersfield
    Kirklees
    HD8 9DA
    UNITED KINGDOM
    Phone
    +441484767787

What this firm is allowed to do

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

  • P2P Lending Advice

    For Professional, Retail (Investment)

  • Pension Transfer Advice

    For Professional, Retail (Investment), 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
    • · 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.
    • · 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 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.

  • Authorised to Operate

    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.

  • 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.

Approved individuals

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

  • Benjamin Charles Philpott

    IRN BCP01033

    • 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)
    • SMF16 Compliance Oversight (since 16 Sep 2021)
    • Responsible for Insurance Distribution (since 16 Sep 2021)
    • SMF3 Executive Director (since 12 Nov 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Fabien Leandros Yves Lambrou

    IRN FXL00142

    • 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 1 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2025)
  • Henry Robert Philpott

    IRN HRP01030

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Sep 2021)
    • SMF3 Executive Director (since 12 Nov 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • John Charles Philpott

    IRN JCP00022

    • SMF16 Compliance Oversight (12 Nov 2020 to 7 May 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (12 Nov 2020 to 7 May 2021)
    • SMF3 Executive Director (12 Nov 2020 to 7 May 2021)
    • Responsible for Insurance Mediation (12 Nov 2020 to 7 May 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 May 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 7 May 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 7 May 2021)

Recent activity

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

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