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.

• Reece Martin

  IRN RXM00320

  • [FCA CF] Client dealing (17 May 2025 to 4 Nov 2025)
  • [FCA CF] Functions requiring qualifications (17 Mar 2025 to 4 Nov 2025)
• Richard Capeling

  IRN RXC00147

  • [FCA CF] Client dealing (3 Mar 2020 to 4 Nov 2025)
  • [FCA CF] Functions requiring qualifications (3 Mar 2020 to 4 Nov 2025)
• Robert Dixon

  IRN RXD09402

  • [FCA CF] Functions requiring qualifications (30 Nov 2021 to 2 May 2024)
  • [FCA CF] Client dealing (30 Nov 2021 to 2 May 2024)
• Simon Dixon

  IRN SXD01756

  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 31 Mar 2021)
  • [FCA CF] Client dealing (1 Jan 2020 to 31 Mar 2021)
  • CF30 Customer (23 Jun 2010 to 8 Dec 2019)
• Stephen Thomas Price

  IRN STP00003

  • [FCA CF] Significant management (1 Jan 2020 to 24 May 2021)
  • [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)
  • SMF16 Compliance Oversight (9 Dec 2019 to 31 Oct 2025)
  • SMF3 Executive Director (9 Dec 2019 to 31 Oct 2025)
  • Responsible for Insurance Distribution (1 Oct 2018 to 31 Oct 2025)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 18 Mar 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (5 Apr 2005 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (5 Apr 2005 to 22 Dec 2009)
  • CF8 Apportionment and Oversight (5 Apr 2005 to 31 Mar 2009)
  • Responsible for Insurance Mediation (5 Apr 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (5 Apr 2005 to 8 Dec 2019)
  • CF1 Director (5 Apr 2005 to 8 Dec 2019)
• Steven Benedict Coyles

  IRN SBC00003

  • [FCA CF] Client dealing (1 Jan 2020 to 8 Apr 2024)
  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 8 Apr 2024)
  • CF30 Customer (1 Sep 2009 to 8 Dec 2019)
• Stuart Watterson

  IRN SXW01781

  • CF30 Customer (1 Sep 2009 to 18 Jun 2010)
• Terence Peter Murray

  IRN TPM01038

  • CF11 Money Laundering Reporting (20 Sep 2010 to 6 Mar 2012)
  • CF30 Customer (1 Nov 2007 to 6 May 2010)
  • CF22 Investment Adviser (Trainee) (3 Sep 2007 to 31 Oct 2007)
• Thomas Hoyle

  IRN TXH01203

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

  IRN VXW00047

  • [FCA CF] Functions requiring qualifications (24 May 2021 to 4 Nov 2025)
  • [FCA CF] Client dealing (24 May 2021 to 4 Nov 2025)

• TM Consultancy (no longer appointed)

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

No changes recorded yet.