Professional Assured Financial Services Limited

• Principal Place of Business

  4 - 6 Royal Exchange Buildings

  London

  EC3V 3NL

  UNITED KINGDOM

  Phone

  +442072569878

  Web

  https://www.professionalassured.co.uk

• Complaints Contact

  4 - 6 Royal Exchange Buildings

  London

  EC3V 3NL

  UNITED KINGDOM

  Phone

  +442072569878

• 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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  • · 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.

• Credit Brokering

• Debt Advice

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  • · 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.

• Alexander James Caswell

  IRN AXC00908

  • 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] Client dealing (since 30 Jan 2026)
  • [FCA CF] Functions requiring qualifications (since 30 Jan 2026)
• Angela Eriskin

  IRN AXE01678

  • [FCA CF] Functions requiring qualifications (20 Jan 2022 to 27 Mar 2024)
  • [FCA CF] Client dealing (20 Jan 2022 to 27 Mar 2024)
• Bethan Probert

  IRN BXP01315

  • CF30 Customer (17 Jul 2012 to 31 Jul 2015)
• James Edward Glavey

  IRN JEG01135

  • CF30 Customer (19 Nov 2015 to 21 Feb 2017)
• James Harold Nash

  IRN JHN00004

  • CF1 Director (3 Jan 2006 to 4 Apr 2012)
• Leanne Ho-Yan Wong

  IRN LHW01017

  • CF30 Customer (16 Jun 2017 to 8 Dec 2019)
• Michael Patrick Tattum

  IRN MPT00039

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • 9A. Advising on P2P agreements
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (3 Jan 2006 to 31 Mar 2009)
  • CF10 Compliance Oversight (3 Jan 2006 to 8 Dec 2019)
  • CF1 Director (3 Jan 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Jan 2006 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 Jan 2006 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (3 Jan 2006 to 31 Oct 2007)
• Shalman Igbokwe

  IRN SXI00155

  • [FCA CF] Client dealing (19 Aug 2024 to 25 Jul 2025)
  • [FCA CF] Functions requiring qualifications (19 Aug 2024 to 25 Jul 2025)
• Timothy John Hines

  IRN TJH01122

  • CF30 Customer (18 Oct 2016 to 8 Dec 2019)

No changes recorded yet.