Plum Underwriting Limited

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Investment Advice (no pensions)

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
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, Retail (Non-Investment Insurance), Non-investment insurance contracts
Insurance Admin

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Credit Brokering
Stockbroking

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts
Debt Plan Admin
Debt Collection
Investment Setup

For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

Senior staff personally approved by the FCA to hold their roles here.

Sarah Caroline Pattni
IRN SCS01079
- [FCA CF] Significant management (9 Dec 2019 to 15 Mar 2022)
Shane McCauley
IRN SXM01261
- [FCA CF] Significant management (since 3 Jan 2023)
Simon Lewer
IRN SXL01770
- CF1 Director (10 Nov 2015 to 2 May 2018)
Stephen Alan Ross
IRN SAR01219
- [FCA CF] Significant management (since 9 Dec 2019)
- CF2 Non Executive Director (30 Dec 2014 to 17 Jul 2018)
Steve Anson
IRN SJA01200
- [FCA CF] Significant management (1 Jan 2023 to 26 Feb 2025)
Steven Richard Bishop
IRN SXB00879
- [FCA CF] Significant management (4 Mar 2022 to 12 Jun 2023)
Tina Lesley Roberts
IRN TLR01024
- CF1 Director (AR) (since 17 Mar 2022)
Tobias James Alexander Daley
IRN TJD01109
- [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2024)
- CF1 Director (1 Jan 2014 to 31 Oct 2018)

Smaller firms operating under this firm's FCA authorisation.

Brickyard Leisure Ltd (no longer appointed)
FRN 925974 · Appointed 24 Jan 2022 · Until 11 Jun 2024
Laurence Waterhouse (no longer appointed)
FRN 572946 · Appointed 19 Jan 2012 · Until 23 Jan 2014

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.