Portland Financial Management Limited

• Principal Place of Business

  29 Portland Terrace

  Newcastle upon Tyne

  Tyne & Wear

  NE2 1QS

  UNITED KINGDOM

  Phone

  +4401912816074

  Web

  https://www.pfm-uk.com

• Complaints Contact

  29 Portland Terrace

  Newcastle upon Tyne

  Tyne and Wear

  NE2 1QS

  UNITED KINGDOM

  Phone

  +4401912816074

• Pension Transfer Advice

  For Eligible Counterparty, 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

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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 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, 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

• 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.

• 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.

• Anthony Arthur Edward Glenton

  IRN AAG01019

  • CF30 Customer (1 Nov 2007 to 1 Jan 2013)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Christopher Robert Robson

  IRN CRR00004

  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 27 May 2021)
  • Responsible for Insurance Mediation (26 Jun 2014 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2010)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Deborah Janet Graham

  IRN DXG00367

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 May 2022)
• Gareth Davies

  IRN GDD01018

  • CF30 Customer (1 Nov 2007 to 24 Dec 2011)
  • CF21 Investment Adviser (6 Sep 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Oct 2006 to 6 Sep 2007)
• George William Straker

  IRN GWS00032

  • CF1 Director (1 Dec 2001 to 22 Jun 2015)
• Grahame Maughan

  IRN GXM01979

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 May 2022)
  • CF11 Money Laundering Reporting (8 Dec 2011 to 8 Dec 2019)
• Heather Ann Beresford

  IRN HAB01054

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Jan 2020)
  • CF10 Compliance Oversight (16 Dec 2011 to 8 Dec 2019)
  • CF30 Customer (1 Mar 2011 to 8 Dec 2019)
• Joanna Louise Allen

  IRN JLL01031

  • CF21 Investment Adviser (12 Mar 2003 to 30 Jun 2006)
• John Geoffrey White

  IRN JGW01048

  • CF30 Customer (1 Nov 2007 to 1 Jan 2013)
  • CF21 Investment Adviser (18 Nov 2002 to 31 Oct 2007)
• Keith John Glass

  IRN KJG00012

  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 May 2004)
  • CF1 Director (1 Dec 2001 to 1 May 2004)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 May 2004)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 May 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 1 May 2004)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 1 May 2004)

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