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

  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.

• Jonathan Michael Loughran

  IRN JXL10611

  • [FCA CF] Client dealing (4 Mar 2020 to 15 Sep 2022)
  • [FCA CF] Functions requiring qualifications (4 Mar 2020 to 15 Sep 2022)
  • CF30 Customer (28 Jan 2019 to 15 Sep 2022)
• Jonathan Thomas Roy

  IRN JTR01015

  • CF30 Customer (16 Jan 2012 to 2 Nov 2012)
• Juan Manuel Marin

  IRN JMM01341

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Aug 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 Aug 2022)
  • CF30 Customer (24 Sep 2009 to 29 Nov 2013)
• Martin Holliday

  IRN MXH00137

  • CF30 Customer (1 Nov 2007 to 31 Aug 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Melvyn John McRoberts Logan

  IRN MJL00077

  • CF10 Compliance Oversight (14 Aug 2002 to 31 Dec 2005)
• Michael John Willett

  IRN MJW00036

  • CF1 Director (1 Dec 2001 to 19 Jul 2002)
• Nicholas Philip Cranston

  IRN NXC00267

  • CF30 Customer (15 Jul 2024 to 31 Jan 2026)
  • [FCA CF] Functions requiring qualifications (22 May 2024 to 31 Jan 2026)
  • Appointed representative dealing with clients for which they require qualification (22 May 2024 to 31 Jan 2026)
  • [FCA CF] Client dealing (22 May 2024 to 31 Jan 2026)
• Paul Graham Shepherd

  IRN PGS01087

  • CF30 Customer (1 Nov 2007 to 11 Jul 2011)
  • CF22 Investment Adviser (Trainee) (3 Jul 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (27 Jan 2006 to 1 Feb 2011)
  • CF10 Compliance Oversight (27 Jan 2006 to 1 Feb 2011)
  • CF1 Director (27 Jan 2006 to 11 Jul 2011)
  • CF8 Apportionment and Oversight (27 Jan 2006 to 31 Mar 2009)
• Robert Andrew Walker

  IRN RAW01118

  • CF30 Customer (31 Oct 2011 to 31 Oct 2011)
• Simon Daykin

  IRN SXD02424

  • 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 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 23 Mar 2017)

• 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.