Prism Financial Advice Limited

Date authorised
1 April 2013
Companies House
05303532
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

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

  • 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
    • · 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
    • · 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.

  • Buy-to-Let Start Date

  • Buy-to-Let End Date

  • Debt Advice

    Show 2 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
    • · 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.

  • William Capeling

    IRN WXC00005

    • [FCA CF] Client dealing (1 Jan 2020 to 30 Sep 2022)
    • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 30 Sep 2022)
    • [FCA CF] Manager of certification employee (1 Jan 2020 to 30 Sep 2022)
    • CF30 Customer (10 Oct 2017 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • TM Consultancy (no longer appointed)

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

Recent activity

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

No changes recorded yet.