PROACTIVE FINANCIAL MANAGEMENT LIMITED

• Principal Place of Business

  11 Quay Road

  Bridlington

  East Riding of Yorkshire

  YO15 2AB

  UNITED KINGDOM

  Phone

  +4401262410050

  Web

  https://www.profmltd.co.uk

• Complaints Contact

  11 Quay Road

  Bridlington

  East Riding of Yorkshire

  YO15 2AB

  UNITED KINGDOM

  Phone

  +4401262410050

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 Hide 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling which is provided in connection with investment advice, buy-to-let mortgages and commercial mortgages.
  • · 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”.

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Graeme Patterson

  IRN GXP00104

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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 19 Dec 2019)
  • [FCA CF] Client dealing (since 19 Dec 2019)
  • CF30 Customer (11 Jun 2013 to 8 Dec 2019)
• James Gordon Williams

  IRN JGW00019

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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 19 Dec 2019)
  • [FCA CF] Client dealing (since 19 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF1 Director (AR) (31 Oct 2013 to 6 Nov 2020)
  • CF11 Money Laundering Reporting (1 Apr 2008 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Apr 2008 to 30 Sep 2018)
  • CF1 Director (1 Apr 2008 to 8 Dec 2019)
  • CF30 Customer (1 Apr 2008 to 28 Dec 2012)
  • CF8 Apportionment and Oversight (1 Apr 2008 to 31 Mar 2009)
  • CF10 Compliance Oversight (1 Apr 2008 to 8 Dec 2019)
• Neil Harvey Richardson

  IRN NHR01023

  • CF30 Customer (2 Jan 2013 to 22 Sep 2014)
• Phillipa Jane Gascoigne

  IRN PJB01569

  • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 22 Aug 2025)
  • [FCA CF] Client dealing (19 Dec 2019 to 22 Aug 2025)
• Robert Andrew Ellerton

  IRN RAE01060

  • CF30 Customer (17 May 2013 to 8 Dec 2019)
• Simon Richard Smith

  IRN SRS01109

  • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 28 Aug 2021)
  • [FCA CF] Client dealing (19 Dec 2019 to 28 Aug 2021)
  • CF30 Customer (8 Sep 2011 to 8 Dec 2019)

• Monibox Ltd (no longer appointed)

  FRN 606340 · Appointed 22 Aug 2013 · Until 24 Nov 2020

No changes recorded yet.