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

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  • · 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

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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

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  • · 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

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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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Debt Advice

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  • · 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.

• David Alan Rounsfell

  IRN DAR00062

  • CF30 Customer (19 Oct 2017 to 8 Dec 2019)
• David James Rawson

  IRN DXR00435

  • [FCA CF] Client dealing (12 May 2023 to 4 Nov 2025)
  • [FCA CF] Functions requiring qualifications (12 May 2023 to 4 Nov 2025)
• David Pickering

  IRN DXP07756

  • [FCA CF] Functions requiring qualifications (6 Jun 2023 to 4 Nov 2025)
  • [FCA CF] Client dealing (6 Jun 2023 to 4 Nov 2025)
• David Somerville McGowan

  IRN DSM00004

  • [FCA CF] Client dealing (11 Jan 2021 to 6 Jul 2022)
  • [FCA CF] Functions requiring qualifications (11 Jan 2021 to 6 Jul 2022)
• Duncan Paul Mitchell

  IRN DPM00018

  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 31 Dec 2023)
  • [FCA CF] Client dealing (1 Jan 2020 to 31 Dec 2023)
  • CF30 Customer (8 Apr 2013 to 8 Dec 2019)
  • CF21 Investment Adviser (25 May 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (30 Jan 2007 to 31 Oct 2007)
• Fay Eileen Thomas

  IRN FXR01062

  • [FCA CF] Client dealing (18 May 2021 to 31 Oct 2024)
  • [FCA CF] Functions requiring qualifications (18 May 2021 to 31 Oct 2024)
• James Campbell Williams

  IRN JCW00041

  • [FCA CF] Client dealing (1 Jan 2020 to 4 Nov 2025)
  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 4 Nov 2025)
  • CF30 Customer (11 Apr 2019 to 8 Dec 2019)
• James Michael Balls

  IRN JMB00109

  • [FCA CF] Client dealing (1 Jan 2020 to 4 Nov 2025)
  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 4 Nov 2025)
  • CF30 Customer (1 Mar 2018 to 8 Dec 2019)
• James Redhead

  IRN JXR00993

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Nov 2025)
  • SMF16 Compliance Oversight (since 19 Nov 2025)
• John Etherington

  IRN JXE00294

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

• TM Consultancy (no longer appointed)

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

No changes recorded yet.