Portland Financial Management Limited

Date authorised
1 April 2013
Companies House
01496459
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

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

  • 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

    Show 2 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 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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.

Approved individuals

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

  • Laura Dryden

    IRN LXD01243

    • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
    • CF21 Investment Adviser (15 Jun 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Oct 2006 to 15 Jun 2007)
  • Paul Cunningham Vardy

    IRN PCV00001

    • CF30 Customer (1 Nov 2007 to 16 Dec 2011)
    • Responsible for Insurance Mediation (14 Jan 2005 to 16 Dec 2011)
    • CF11 Money Laundering Reporting (1 May 2004 to 16 Dec 2011)
    • CF10 Compliance Oversight (1 May 2004 to 16 Dec 2011)
    • CF8 Apportionment and Oversight (1 May 2004 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 3 Oct 2014)
  • Peter James Glenton

    IRN PJG01240

    • 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)
    • Responsible for Insurance Distribution (since 29 Jun 2021)
    • SMF16 Compliance Oversight (since 28 Jan 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (14 Aug 2015 to 8 Dec 2019)
    • CF30 Customer (1 Mar 2011 to 8 Dec 2019)

Recent activity

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

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