PHOENIX FINANCIAL PLANNING LIMITED

Date authorised
1 April 2013
Companies House
03894387
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Phoenix Financial Planning Ltd
    16 Market Place
    Howden
    Goole
    East Riding Of Yorkshire
    DN14 7BL
    UNITED KINGDOM
    Phone
    +4401430265046
    Web
    https://www.phoenixfp-ltd.co.uk

  • Complaints Contact

    Phoenix Financial Planning Ltd
    16 Market Place
    Howden
    Goole
    East Riding Of Yorkshire
    DN14 7BL
    UNITED KINGDOM
    Phone
    +4401430265046

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), 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
    • · 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: 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.

  • Equity Release Advice

    For Customer, Home reversion plans

  • 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Equity Release Arranging

    For Customer, Home reversion plans

  • 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

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Debt Advice

    Show 2 limitations
    • · This permission is limited to debt counselling with no debt management activity
    • · Limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages and second charge mortgage

  • Equity Release Setup

    For Customer, Home reversion plans

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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.

  • Lewis Thundercliffe

    IRN LXT06073

    • CF1 Director (AR) (14 Sep 2018 to 31 May 2023)
  • Linda Griffiths

    IRN LXW01169

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • Responsibility for MCD Intermediation (since 12 Apr 2022)
    • SMF16 Compliance Oversight (since 12 Apr 2022)
    • Responsible for Insurance Distribution (since 12 Apr 2022)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (15 Jan 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 Jan 2018 to 8 Dec 2019)
    • CF30 Customer (1 Aug 2013 to 8 Dec 2019)
  • Margaret Elizabeth Taylor

    IRN MET00005

    • Responsibility for MCD Intermediation (21 Mar 2016 to 22 Dec 2017)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • Responsible for Insurance Mediation (14 Jan 2005 to 22 Dec 2017)
    • CF10 Compliance Oversight (1 Apr 2004 to 22 Dec 2017)
    • CF1 Director (1 Apr 2004 to 22 Dec 2017)
    • CF8 Apportionment and Oversight (1 Apr 2004 to 31 Mar 2009)
    • CF21 Investment Adviser (1 Apr 2004 to 31 Oct 2007)
  • Matthew Lee

    IRN MXL00043

    • CF30 Customer (22 Jan 2014 to 3 Jan 2021)
    • CF4 Partner (AR) (6 Dec 2013 to 27 Apr 2021)
  • Samantha Louise Malcolmson

    IRN SXM00777

    • [FCA CF] Client dealing (21 Aug 2021 to 4 Dec 2023)
    • [FCA CF] Functions requiring qualifications (1 Jun 2020 to 4 Dec 2023)
  • Stephen Leslie Hirst

    IRN SLH00004

    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (1 Apr 2004 to 31 Oct 2007)
    • CF1 Director (1 Apr 2004 to 22 Dec 2017)
    • CF11 Money Laundering Reporting (1 Apr 2004 to 22 Dec 2017)

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.