PREMIER FINANCIAL LIMITED

Date authorised
1 April 2013
Companies House
04202345
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    10 Epperstone Road
    Lowdham
    Nottingham
    NG14 7BU
    UNITED KINGDOM
    Phone
    +447850040065
    Web
    https://www.premierfinancialltd.co.uk

  • Complaints Contact

    10 Epperstone Road
    Lowdham
    Nottingham
    NG14 7BU
    UNITED KINGDOM
    Phone
    +447850040065

What this firm is allowed to do

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

  • Pension Transfer Advice

    For 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, 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, 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.

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · 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, 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.

  • Christopher David Godwin

    IRN CDG00003

    • CF30 Customer (1 Nov 2007 to 19 Jan 2009)
    • CF21 Investment Adviser (2 Aug 2006 to 31 Oct 2007)
  • Claire Ball

    IRN CXM01989

    • 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 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (2 Mar 2018 to 30 Sep 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 18 Sep 2019)
    • CF1 Director (27 Jan 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (28 Jul 2010 to 8 Dec 2019)
    • CF29 Significant management (28 Jul 2010 to 18 Sep 2019)
    • CF28 Systems and controls (28 Jul 2010 to 18 Sep 2019)
    • CF10 Compliance Oversight (28 Jul 2010 to 8 Dec 2019)
    • CF30 Customer (9 Jul 2010 to 8 Dec 2019)
  • Mark Allen Lane

    IRN MAL00038

    • CF30 Customer (1 Nov 2007 to 12 Dec 2011)
    • CF21 Investment Adviser (2 Aug 2006 to 31 Oct 2007)
  • Steven Donald Morley

    IRN SDM00014

    • CF30 Customer (1 Nov 2007 to 3 Dec 2012)
    • Responsible for Insurance Mediation (2 Aug 2006 to 31 Dec 2017)
    • CF1 Director (2 Aug 2006 to 31 Dec 2017)
    • CF10 Compliance Oversight (2 Aug 2006 to 28 Jul 2010)
    • CF11 Money Laundering Reporting (2 Aug 2006 to 28 Jul 2010)
    • CF21 Investment Adviser (2 Aug 2006 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (2 Aug 2006 to 31 Mar 2009)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

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