PK Financial Planning LLP

• Principal Place of Business

  P K Group, 1 Parkshot

  Richmond

  Richmond Upon Thames

  TW9 2RD

  UNITED KINGDOM

  Phone

  +4402083349953

  Web

  https://www.pkgroup.co.uk

• Complaints Contact

  1 Parkshot

  -

  Richmond

  TW9 2RD

  UNITED KINGDOM

  Phone

  +442083349953

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

  Show 2 limitations Hide limitations

  • · 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 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.

• 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 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

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  • · 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 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling in connection with investment and mortgage advice.

• 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, 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.

• Colin Vandeleur Stewart Studd

  IRN CVS00004

  • CF30 Customer (1 Nov 2007 to 18 Feb 2010)
  • CF21 Investment Adviser (14 Jun 2006 to 31 Oct 2007)
• Dale Jonathan Thornley

  IRN DJT00070

  • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 10 Oct 2013)
  • CF4 Partner (10 Oct 2005 to 5 Dec 2013)
  • CF11 Money Laundering Reporting (27 Jun 2005 to 8 Dec 2019)
  • CF10 Compliance Oversight (27 Jun 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (27 Jun 2005 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (27 Jun 2005 to 31 Oct 2007)
• David Frederick Charles Haynes

  IRN DCH01086

  • CF30 Customer (1 Nov 2007 to 12 Jul 2017)
  • CF21 Investment Adviser (22 Sep 2005 to 31 Oct 2007)
• Gisele-Eliane Michael

  IRN GXM01694

  • CF21 Investment Adviser (13 Sep 2007 to 30 Sep 2007)
  • CF22 Investment Adviser (Trainee) (7 Jun 2007 to 13 Sep 2007)
• Graham Brian Pearce

  IRN GBP01011

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (5 Jan 2010 to 8 Dec 2019)
• Howard Philip Barnes

  IRN HPB01030

  • Responsible for Insurance Mediation (since 7 Nov 2025)
  • Responsibility for MCD Intermediation (since 7 Nov 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 3 Jul 2025)
  • SMF16 Compliance Oversight (since 3 Jul 2025)
• Ian Henry Brockwell

  IRN IXB00089

  • SMF17 Money Laundering Reporting Officer (MLRO) (10 Jun 2021 to 6 Jun 2025)
• Ian Stuart Crump

  IRN ISC01041

  • CF30 Customer (20 Jan 2010 to 13 Nov 2017)
• James Mathieson Kenneth Porter

  IRN JXP00004

  • 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] Functions requiring qualifications (since 1 Aug 2023)
  • [FCA CF] Client dealing (since 1 Aug 2023)
• Jason Barnabas Clark-Ward

  IRN JXC00070

  • CF21 Investment Adviser (11 Oct 2005 to 14 Dec 2006)

No changes recorded yet.