PLS FINANCIAL SERVICES LIMITED

• Principal Place of Business

  Unit 8

  Hopper Way

  Diss

  Norfolk

  IP22 4GT

  UNITED KINGDOM

  Phone

  +4401379644568

  Web

  https://www.plsfinancial.co.uk

• Complaints Contact

  17 Waveney Road

  Beccles

  Suffolk

  NR34 9NW

  UNITED KINGDOM

  Phone

  +4407708641787

• 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 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.

• 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, 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

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

• 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, 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.

• Blake Michael Rickards

  IRN BXR00290

  • 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 4 Dec 2025)
  • [FCA CF] Functions requiring qualifications (since 4 Dec 2025)
• Charles Nicholas Prideaux Selby Rickards

  IRN CNR00005

  • 11. Pension transfer specialist
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • [FCA CF] Manager of certification employee (since 1 Mar 2026)
  • [FCA CF] Client dealing (since 24 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 24 Nov 2020)
  • CF30 Customer (8 May 2014 to 8 Dec 2019)
• Christopher Richard Spain

  IRN CRS00015

  • [FCA CF] Functions requiring qualifications (12 Apr 2021 to 6 Apr 2023)
  • [FCA CF] Client dealing (12 Apr 2021 to 6 Apr 2023)
• Elizabeth Leslie-Smith

  IRN EML00004

  • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 31 Oct 2022)
  • [FCA CF] Client dealing (1 Dec 2020 to 31 Oct 2022)
  • SMF3 Executive Director (9 Dec 2019 to 18 Jan 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 18 Jan 2023)
  • Responsible for Insurance Mediation (3 Nov 2008 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (3 Nov 2008 to 18 Nov 2019)
  • CF30 Customer (3 Nov 2008 to 8 Dec 2019)
  • CF1 Director (3 Nov 2008 to 8 Dec 2019)
• Georgia Elizabeth Finbow

  IRN GXR15543

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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
  • 11. Pension transfer specialist
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 24 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 24 Nov 2020)
  • CF30 Customer (30 May 2019 to 8 Dec 2019)
• Mark David Firman- Andrews

  IRN MDF00028

  • CF1 Director (AR) (18 Sep 2013 to 22 Nov 2018)
  • CF30 Customer (18 Sep 2013 to 22 Nov 2018)
• Mark James Champion

  IRN MJC00089

  • [FCA CF] Client dealing (24 Nov 2020 to 1 Jan 2026)
  • [FCA CF] Functions requiring qualifications (24 Nov 2020 to 1 Jan 2026)
  • CF30 Customer (2 May 2014 to 8 Dec 2019)
• Robert Arthur Thomas Elmer

  IRN RXE00217

  • 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 4 Dec 2025)
  • [FCA CF] Client dealing (since 4 Dec 2025)
• Shane Edward Finbow

  IRN SXF00151

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 2 Jan 2024)
• Simon Garfield Palmer

  IRN SGP01049

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • Responsible for Insurance Distribution (since 19 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 24 Nov 2020)
  • [FCA CF] Client dealing (since 24 Nov 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jan 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF1 Director (3 Nov 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Nov 2008 to 8 Dec 2019)
  • CF30 Customer (3 Nov 2008 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (3 Nov 2008 to 31 Mar 2009)

• Heritage Coast Asset Management Limited (no longer appointed)

  FRN 605529 · Appointed 5 Aug 2013 · Until 15 Dec 2018

No changes recorded yet.