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)

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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 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

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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, 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

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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.

• 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

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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.

• 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

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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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  • · 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

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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.

• 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

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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.

• Jordan Nicholas Anderson

  IRN JXA00347

  • [FCA CF] Client dealing (10 Dec 2021 to 31 Dec 2025)
  • [FCA CF] Functions requiring qualifications (10 Dec 2021 to 31 Dec 2025)
• Katie-Leigh Keenan

  IRN KXK00308

  • [FCA CF] Client dealing (9 Jan 2023 to 14 Mar 2024)
  • [FCA CF] Functions requiring qualifications (9 Jan 2023 to 14 Mar 2024)
• Louise Catherine Thompson

  IRN LXR11152

  • [FCA CF] Manager of certification employee (7 Feb 2022 to 4 Mar 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 4 Mar 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 4 Mar 2024)
  • CF30 Customer (5 Oct 2019 to 8 Dec 2019)
• Matthew David Knight

  IRN MXK00436

  • [FCA CF] Client dealing (10 Dec 2021 to 6 Feb 2022)
  • [FCA CF] Functions requiring qualifications (10 Dec 2021 to 6 Feb 2022)
• Michael Anthony Walker

  IRN MXW00287

  • [FCA CF] Manager of certification employee (7 Feb 2022 to 1 Jan 2024)
  • [FCA CF] Functions requiring qualifications (10 Mar 2021 to 1 Jan 2024)
  • [FCA CF] Client dealing (10 Mar 2021 to 1 Jan 2024)
• Michael James Harrington

  IRN MJC01627

  • [FCA CF] Client dealing (1 Feb 2024 to 21 Mar 2025)
  • [FCA CF] Functions requiring qualifications (1 Feb 2024 to 21 Mar 2025)
• Neil Parker

  IRN NXP00058

  • 14. Managing investments
  • 9A. Advising on P2P agreements
  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 16 Jul 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 7 Aug 2025)
  • CF1 Director (16 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (16 Jul 2019 to 8 Dec 2019)
• Stephanie Coates

  IRN SXC00279

  • [FCA CF] Client dealing (9 Dec 2019 to 19 Feb 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Feb 2021)
• Stuart Robinson

  IRN SXR01455

  • SMF16 Compliance Oversight (9 Dec 2019 to 20 Jun 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Aug 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Aug 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Jun 2021)
  • CF10 Compliance Oversight (16 Jul 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (16 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (16 Jul 2019 to 8 Dec 2019)
• Thomas Richmond

  IRN TXR00113

  • SMF16 Compliance Oversight (3 Aug 2021 to 14 Jul 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (3 Aug 2021 to 14 Jul 2023)

No changes recorded yet.