Pilling Financial Ltd

• Principal Place of Business

  Owen House

  Sanderson Arcade

  Morpeth

  Northumberland

  NE61 1NS

  UNITED KINGDOM

  Phone

  +4401670504651

  Web

  https://www.pillingfinancial.co.uk

• Complaints Contact

  11 Market Place

  -

  Morpeth

  Northumberland

  NE61 1HG

  UNITED KINGDOM

  Phone

  +441670504651

• P2P Lending Advice

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

• 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

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  • · 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, 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

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  • · 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

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  • · 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

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  • · 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · This permissiom is limited to debt counselling which is provided in connection with investment advice and/or buy to let mortgages
  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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

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  • · 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

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  • · This permission is limited to not carrying out credit repair services

• Andrew John Pilling

  IRN AJP00002

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF16 Compliance Oversight (since 28 Apr 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 28 Apr 2020)
  • Responsible for Insurance Distribution (since 28 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Oct 2014 to 8 Dec 2019)
  • CF1 Director (1 Oct 2014 to 8 Dec 2019)
• Kerry Davison

  IRN KXD00001

  • SMF3 Executive Director (9 Dec 2019 to 6 Feb 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Jan 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Jan 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 28 Jan 2020)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 28 Jan 2020)
  • CF30 Customer (1 Oct 2014 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Oct 2014 to 30 Sep 2018)
  • CF10 Compliance Oversight (1 Oct 2014 to 8 Dec 2019)
  • CF1 Director (1 Oct 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Oct 2014 to 8 Dec 2019)

No changes recorded yet.