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

  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

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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.

• John Pilkington

  IRN JXP00186

  • [FCA CF] Client dealing (1 Jan 2020 to 21 Nov 2023)
  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 21 Nov 2023)
  • CF30 Customer (9 Mar 2012 to 8 Dec 2019)
• Joseph Frederick Hammond

  IRN JXH00892

  • [FCA CF] Manager of certification employee (16 Oct 2023 to 31 Aug 2024)
• Joshua Leggate

  IRN JXL00548

  • [FCA CF] Functions requiring qualifications (21 Jul 2022 to 2 Dec 2022)
  • [FCA CF] Client dealing (21 Jul 2022 to 2 Dec 2022)
• Kirsty Walker

  IRN KWB01024

  • [FCA CF] Manager of certification employee (since 22 Aug 2022)
• Mark Ronald Archibald Wilson

  IRN MRW00070

  • SMF3 Executive Director (since 21 Oct 2025)
• Michael Ferguson

  IRN MXF02108

  • [FCA CF] Functions requiring qualifications (6 Jun 2023 to 31 Dec 2024)
  • [FCA CF] Client dealing (6 Jun 2023 to 31 Dec 2024)
• Michael Smith

  IRN MXS00031

  • [FCA CF] Client dealing (1 Jan 2020 to 10 May 2024)
  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 10 May 2024)
  • [FCA CF] Manager of certification employee (1 Jan 2020 to 24 May 2021)
  • [FCA CF] Significant management (1 Jan 2020 to 24 May 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Oct 2025)
  • SMF3 Executive Director (9 Dec 2019 to 31 Oct 2025)
  • CF11 Money Laundering Reporting (17 Dec 2009 to 2 Aug 2010)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (5 Oct 2005 to 31 Oct 2007)
  • CF1 Director (5 Apr 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (5 Apr 2005 to 31 Oct 2007)
• Neil McGann

  IRN NCM00007

  • [FCA CF] Client dealing (1 Jan 2020 to 12 Jun 2024)
  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 12 Jun 2024)
  • [FCA CF] Manager of certification employee (1 Jan 2020 to 24 May 2021)
  • [FCA CF] Significant management (1 Jan 2020 to 24 May 2021)
  • SMF3 Executive Director (9 Dec 2019 to 31 Oct 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (5 Oct 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (5 Apr 2005 to 31 Oct 2007)
  • CF1 Director (5 Apr 2005 to 8 Dec 2019)
• Nicholas Berry

  IRN NXB01383

  • CF30 Customer (19 Jun 2015 to 1 May 2019)
• Paul Simon Nathan

  IRN PSN01021

  • [FCA CF] Functions requiring qualifications (16 Mar 2020 to 30 Dec 2022)
  • [FCA CF] Client dealing (16 Mar 2020 to 30 Dec 2022)

• TM Consultancy (no longer appointed)

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

No changes recorded yet.