PINNACLE FINANCIAL PLANNING LIMITED

• Principal Place of Business

  Pinnacle Financial Planning Ltd, 1-2 Chestnut Court

  Jill Lane

  Sambourne

  Redditch

  B96 6EW

  UNITED KINGDOM

  Phone

  +4401527893476

  Web

  https://www.pinnaclefp.co.uk

• Complaints Contact

  Pinnacle Financial Planning Ltd, 1-2 Chestnut Court

  Jill Lane

  Sambourne

  Redditch

  B96 6EW

  UNITED KINGDOM

  Phone

  +4401527893476

• P2P Lending Advice

  For Commercial, Professional, 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

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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.

• Debt Advice

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  • · This permission is limited to debt counselling which is provided in connection with investment advice
  • · This permission is limited to debt counselling with no debt management 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

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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.

• Joe Black

  IRN JXB03654

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (9 Feb 2018 to 8 Dec 2019)
• John Antony Freeth

  IRN JXF00081

  • CF30 Customer (9 Apr 2009 to 10 Oct 2011)
  • CF8 Apportionment and Oversight (9 Apr 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 Apr 2009 to 8 Jun 2012)
  • CF1 Director (9 Apr 2009 to 25 Oct 2011)
  • Responsible for Insurance Mediation (9 Apr 2009 to 8 Jun 2012)
  • CF11 Money Laundering Reporting (9 Apr 2009 to 8 Jun 2012)
• John Vincent Fitzpatrick

  IRN JVF00001

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (4 Feb 2014 to 8 Dec 2019)
• Joshua Tyler Michael Ferris

  IRN JTF01033

  • CF30 Customer (5 Aug 2015 to 8 Dec 2019)
• Karen Louise Herring

  IRN KXH00347

  • [FCA CF] Functions requiring qualifications (30 Nov 2023 to 20 Mar 2026)
  • [FCA CF] Client dealing (30 Nov 2023 to 20 Mar 2026)
• Kazu John Lapinski

  IRN KJL00010

  • CF30 Customer (14 Jun 2010 to 8 Aug 2011)
• Lisa Johnson

  IRN LXJ01173

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (14 May 2018 to 8 Dec 2019)
• Lorraine Ann Denton

  IRN LAD01050

  • [FCA CF] Client dealing (10 Mar 2022 to 25 Nov 2022)
  • [FCA CF] Functions requiring qualifications (10 Mar 2022 to 25 Nov 2022)
• Mark Anthony Malanaphy

  IRN MXM01145

  • 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 5 May 2023)
  • [FCA CF] Functions requiring qualifications (since 5 May 2023)
• Michael John Orr

  IRN MJO00011

  • CF30 Customer (6 Jan 2011 to 24 Oct 2011)

No changes recorded yet.