PrisWM Limited

• Principal Place of Business

  Prismatic House

  26 Falcon Court

  Preston Farm Industrial Estate

  Stockton-On-Tees

  TS18 3TX

  UNITED KINGDOM

  Phone

  +4401642661600

  Web

  https://www.prismaticwealth.co.uk

• Complaints Contact

  Prismatic House

  26 Falcon Court

  Preston Farm Industrial Estate

  Stockton-on-Tees

  Durham

  TS18 3TX

  UNITED KINGDOM

  Phone

  +4401642661600

• P2P Lending Advice

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

• 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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  • · 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

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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, 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

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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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Debt Advice

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  • · This permission is limited to debt counselling which is provided in connection with investment advice
  • · This permission is limited to debt counselling with no debt management 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

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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.

• Andrew Kenneth Perkins

  IRN AKP01022

  • CF30 Customer (1 Nov 2007 to 1 Dec 2007)
  • CF21 Investment Adviser (31 May 2004 to 31 Oct 2007)
• Anthony Barrington Slimmings

  IRN AXS00186

  • CF30 Customer (1 Apr 2010 to 15 Jul 2015)
• Benjamin Matthew Danson

  IRN BMD00014

  • CF21 Investment Adviser (7 Mar 2002 to 31 May 2004)
• Christopher John Davis

  IRN CJD01140

  • CF30 Customer (8 Sep 2016 to 28 Feb 2017)
• Doreen Anne Willett

  IRN DAW00014

  • CF1 Director (1 Dec 2001 to 19 Jul 2002)
• Gillian Elizabeth Mackenzie

  IRN GEM01060

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • CF1 Director (AR) (since 10 Jul 2025)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • CF30 Customer (since 9 Feb 2009)
  • CF1 Director (22 Dec 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Aug 2012 to 2 Apr 2013)
  • CF11 Money Laundering Reporting (2 Aug 2012 to 2 Apr 2013)
• Graham Bernard Laverick

  IRN GBL00003

  • 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
  • CF1 Director (AR) (since 24 Oct 2025)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (since 1 Nov 2007)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 4 Jan 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 4 Jan 2006)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 4 Jan 2006)
• Janice Caroline Rushworth

  IRN JCR00026

  • CF30 Customer (1 Nov 2007 to 17 Sep 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Joanne Pearson

  IRN JXP02604

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • CF30 Customer (since 3 Nov 2017)
• John Laurence Bowerbank

  IRN JLB00043

  • CF30 Customer (1 Nov 2007 to 6 Dec 2007)
  • CF21 Investment Adviser (3 Jan 2007 to 31 Oct 2007)

• Prismatic Wealth Limited

  FRN 646626 · Appointed 15 Sep 2014

• WR Financial Services Limited (no longer appointed)

  FRN 604408 · Appointed 11 Jul 2013 · Until 28 Aug 2014

• Prismatic Benefits Limited (no longer appointed)

  FRN 578480 · Appointed 28 Mar 2012 · Until 9 Jul 2019

• Chipchase Manners Financial Services Limited (no longer appointed)

  FRN 574692 · Appointed 7 Feb 2012 · Until 2 Mar 2016

No changes recorded yet.