PLANHAPPY INVESTMENT MANAGEMENT LTD

• Principal Place of Business

  Joslin Rhodes

  The Planning Rooms, Unit 6

  Wellington Court

  Preston Farm Business Park

  Stockton-on-Tees

  TS18 3TA

  UNITED KINGDOM

  Phone

  +441642525511

  Web

  https://www.planhappy.co.uk

• Complaints Contact

  Joslin Rhodes

  The Planning Rooms, Unit 6

  Wellington Court

  Preston Farm Business Park

  Stockton-On-Tees

  TS18 3TA

  UNITED KINGDOM

  Phone

  +441642525511

• P2P Lending Advice

• Pension Transfer Advice

  For Eligible Counterparty, Professional, Retail (Investment)

  Show 1 limitation Hide limitations

  • · 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 Advice (no pensions)

  For Commercial, Eligible Counterparty, 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Arranges Investments

  For Commercial, Eligible Counterparty, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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, Eligible Counterparty, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Alix Marie Young

  IRN AXY14833

  • CF30 Customer (6 Sep 2019 to 2 Oct 2019)
• Anthony Keith Prior

  IRN AKP01066

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Apr 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2022)
  • CF30 Customer (19 Aug 2019 to 8 Dec 2019)
• Benjamin Luke Watkinson

  IRN BLW01020

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Oct 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Oct 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Oct 2021)
  • CF30 Customer (14 Aug 2019 to 8 Dec 2019)
• Carly Dursley

  IRN CXD00101

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jun 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jun 2022)
• Christine Fox

  IRN CXF01521

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Apr 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Apr 2021)
  • CF30 Customer (5 Nov 2019 to 8 Dec 2019)
• Christopher Leadbeater

  IRN CXL00402

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • 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 Jun 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Jun 2023)
• Danniel Thomas Spooner

  IRN DXS14908

  • [FCA CF] Client dealing (9 Dec 2019 to 29 Apr 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Apr 2021)
  • CF30 Customer (4 Sep 2019 to 8 Dec 2019)
• Gary Shaw

  IRN GXS00453

  • [FCA CF] Client dealing (19 May 2022 to 28 Feb 2023)
  • [FCA CF] Functions requiring qualifications (19 May 2022 to 28 Feb 2023)
• Georgia May Hearfield

  IRN GXH00340

  • 9A. Advising on P2P agreements
  • 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 9 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Jan 2023)
• Jeay Kinghan

  IRN JXK02202

  • 9A. Advising on P2P agreements
  • 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
  • 14. Managing investments
  • SMF3 Executive Director (since 25 Jun 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Jun 2024)
  • SMF16 Compliance Oversight (since 25 Jun 2024)
  • [FCA CF] Manager of certification employee (since 8 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 6 Aug 2025)
  • CF30 Customer (15 Aug 2019 to 8 Dec 2019)

No changes recorded yet.