Professional Financial Centre (Thames Valley) Ltd

• Principal Place of Business

  Lumin Wealth

  2nd Floor

  4 Beaconsfield Road

  St.Albans

  Herts

  AL1 3RD

  UNITED KINGDOM

  Phone

  +441189797596

  Web

  https://www.pfcthamesvalley.co.uk

• Complaints Contact

  Lumin Wealth

  2nd Floor

  4 Beaconsfield Road

  St.Albans

  Herts

  AL1 3RD

  UNITED KINGDOM

  Phone

  +4401727893333

• P2P Lending Advice

  For Professional, Retail (Investment)

• 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.

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For Professional, Retail (Investment), 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

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · 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, Eligible Counterparty, 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

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Christopher Hugh Morrow

  IRN CHM00002

  • CF30 Customer (1 Nov 2007 to 7 Jul 2010)
  • CF21 Investment Adviser (26 Feb 2007 to 31 Oct 2007)
• James William Eatwell

  IRN JWE01024

  • CF1 Director (AR) (1 Dec 2001 to 1 Mar 2017)
• Jeremy David White

  IRN JBW01037

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Mar 2025)
  • SMF3 Executive Director (9 Dec 2019 to 24 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2025)
  • CF11 Money Laundering Reporting (4 Aug 2008 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (4 Aug 2008 to 31 Mar 2009)
  • CF1 Director (1 Dec 2007 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (22 Jan 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (9 Jan 2007 to 31 Oct 2007)
• Kirsten Frances Dalton

  IRN KFD01007

  • SMF16 Compliance Oversight (9 Dec 2019 to 24 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2025)
  • SMF3 Executive Director (9 Dec 2019 to 24 Mar 2025)
  • Responsibility for MCD Intermediation (24 Aug 2016 to 24 Mar 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (9 May 2007 to 1 Aug 2008)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 May 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Markus Graf

  IRN MXG02167

  • SMF3 Executive Director (since 2 May 2025)
• Nicholas Michael David Sylvester

  IRN NMS00024

  • CF1 Director (1 Dec 2007 to 31 Jul 2008)
  • CF30 Customer (1 Nov 2007 to 31 Jul 2008)
  • CF11 Money Laundering Reporting (9 May 2007 to 31 Jul 2008)
  • CF21 Investment Adviser (1 Mar 2005 to 31 Oct 2007)
• Paul Terence Corfield

  IRN PTC01032

  • Responsible for Insurance Mediation (14 Jan 2005 to 14 Feb 2007)
  • CF3 Chief Executive (1 Dec 2001 to 14 Feb 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 14 Feb 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 14 Feb 2007)
• Sarah Oluwole

  IRN SXO01431

  • SMF3 Executive Director (since 21 Mar 2025)
  • SMF16 Compliance Oversight (since 21 Mar 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Mar 2025)

No changes recorded yet.