Prism Financial Advice Limited

• Principal Place of Business

  Prism Financial Advice

  Prism House Unit 13

  Keel Row

  The Watermark

  Gateshead

  NE11 9SZ

  UNITED KINGDOM

  Phone

  +4401914619400

  Web

  https://www.prismadvice.co.uk

• Complaints Contact

  Prism Financial Advice

  Prism House Unit 13

  Keel Row

  The Watermark

  Gateshead

  NE11 9SZ

  UNITED KINGDOM

  Phone

  +4401914619400

• 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 investments) 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 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Debt Advice

  Show 2 limitations Hide limitations

  • · 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”.
  • · Limited to debt counselling which is provided in connection with investment advice and Buy-to-let mortgages and second charge mortgages

• 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 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.

• Alexander Newell

  IRN AXN00055

  • [FCA CF] Functions requiring qualifications (5 Oct 2020 to 31 Oct 2024)
  • [FCA CF] Client dealing (5 Oct 2020 to 31 Oct 2024)
• Alexander Ryan Ratcliffe

  IRN AXR00771

  • [FCA CF] Client dealing (17 Mar 2025 to 4 Nov 2025)
  • [FCA CF] Functions requiring qualifications (17 Mar 2025 to 4 Nov 2025)
• Anthony Keith Prior

  IRN AKP01066

  • [FCA CF] Client dealing (9 May 2022 to 9 Dec 2022)
  • [FCA CF] Functions requiring qualifications (9 May 2022 to 9 Dec 2022)
• Benjamin Luke Watkinson

  IRN BLW01020

  • [FCA CF] Functions requiring qualifications (30 Nov 2021 to 4 Nov 2025)
  • [FCA CF] Client dealing (30 Nov 2021 to 4 Nov 2025)
• Cheryl Michelle Coulthard

  IRN CMB01140

  • [FCA CF] Client dealing (1 Sep 2023 to 4 Nov 2025)
  • [FCA CF] Functions requiring qualifications (1 Sep 2023 to 4 Nov 2025)
• Craig Hutton

  IRN CXH00661

  • [FCA CF] Client dealing (5 May 2023 to 4 Nov 2025)
  • [FCA CF] Functions requiring qualifications (5 May 2023 to 4 Nov 2025)
• Cristian Paul Woodhouse

  IRN CXW00494

  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 5 May 2023)
  • [FCA CF] Functions requiring qualifications (since 30 Sep 2022)
• Damian Paul Sharp

  IRN DPS00056

  • SMF3 Executive Director (since 7 Oct 2025)
• Daniel Halliday

  IRN DXH00536

  • 11. Pension transfer specialist
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 11 May 2023)
  • [FCA CF] Functions requiring qualifications (since 7 Mar 2022)
• Darren Jones

  IRN DXJ01216

  • [FCA CF] Client dealing (4 Aug 2021 to 4 Nov 2025)
  • [FCA CF] Functions requiring qualifications (4 Aug 2021 to 4 Nov 2025)

• TM Consultancy (no longer appointed)

  FRN 472296 · Appointed 3 Sep 2007 · Until 18 Sep 2007

No changes recorded yet.