PRISM INDEPENDENT FINANCIAL MANAGEMENT LIMITED

Date authorised
1 April 2013
Companies House
05294999
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    46 High Street
    Haverfordwest
    Pembrokeshire
    SA61 2DA
    UNITED KINGDOM
    Phone
    +4401437762007
    Web
    https://www.prism-ifm.co.uk

  • Complaints Contact

    Prism Independent Financil Management Ltd
    46 High Street
    Haverfordwest
    Pembrokeshire
    SA61 2DA
    UNITED KINGDOM
    Phone
    +4401437762007

What this firm is allowed to do

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

  • P2P Lending Advice

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For 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 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · 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.

  • Investment Advice (no pensions)

    For Commercial, Professional, 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, Professional, 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.

  • Investment Setup

    For Commercial, Professional, 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.

  • Martin Craig Lewis

    IRN MCL01104

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (1 Jul 2013 to 8 Dec 2019)
  • Paul Adrian Harries

    IRN PAH00065

    • CF30 Customer (1 Nov 2007 to 20 Dec 2012)
    • CF11 Money Laundering Reporting (21 Apr 2005 to 17 Apr 2012)
    • CF10 Compliance Oversight (21 Apr 2005 to 24 Jul 2007)
    • CF1 Director (21 Apr 2005 to 1 Oct 2008)
    • Responsible for Insurance Mediation (21 Apr 2005 to 17 Apr 2012)
    • CF8 Apportionment and Oversight (21 Apr 2005 to 31 Mar 2009)
    • CF21 Investment Adviser (21 Apr 2005 to 31 Oct 2007)
  • Richard Charles Davies

    IRN RCD00014

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 30 Oct 2020)
    • [FCA CF] Client dealing (since 30 Oct 2020)
    • [FCA CF] CASS oversight function (since 30 Oct 2020)
    • [FCA CF] Significant management (since 30 Oct 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (6 May 2012 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (24 Apr 2012 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Jul 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (25 Apr 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (21 Apr 2005 to 18 Oct 2007)
    • CF1 Director (21 Apr 2005 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.