Professional Financial Planning Ltd.

Date authorised
19 February 2020
Companies House
03300717
Last scraped
1 day ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    66 High Street
    Chasetown
    Burntwood
    Staffordshire
    WS7 3XF
    UNITED KINGDOM
    Phone
    +4401543683342

  • Complaints Contact

    66 High Street
    Chasetown
    Burntwood
    Staffordshire
    WS7 3XF
    UNITED KINGDOM
    Phone
    +448452415102

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • Pension Transfer Advice

    For Retail (Investment), Professional, Unit, Stakeholder pension scheme, Personal pension scheme, Rights to or interests in investments (Security), Life Policy, Rights to or interests in investments (Contractually Based Investments)

    Show 2 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.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

  • Investment Advice (no pensions)

    For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Non-investment insurance contracts, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Stakeholder pension scheme, Personal pension scheme, Life Policy, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Non-investment insurance contracts, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Stakeholder pension scheme, Personal pension scheme, Life Policy, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · 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”.

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Retail (Investment), Retail (Non-Investment Insurance), Commercial, Non-investment insurance contracts, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Stakeholder pension scheme, Personal pension scheme, Life Policy, Rights to or interests in investments (Contractually Based Investments)

    Show 1 limitation
    • · 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 Score Services

    Show 1 limitation
    • · This permission is limited to not carrying out credit repair services

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Mark John Pickman

    IRN MJP00032

    • (7)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (8)Responsibility for MCD Intermediation (since 19 Feb 2020)
    • (9)Responsible for Insurance Distribution (since 19 Feb 2020)
    • (10)SMF3 Executive Director (since 19 Feb 2020)
    • (11)[FCA CF] Functions requiring qualifications (since 19 Feb 2020)
    • (1)[PRA CF] Key function holder (19 Feb 2020 to 20 Feb 2020)
    • (3)[FCA CF] CASS oversight function (19 Feb 2020 to 20 Feb 2020)
    • (2)[FCA CF] Significant management (19 Feb 2020 to 20 Feb 2020)
  • Stuart Clarke

    IRN SXC00053

    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (1)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (6)[FCA CF] Functions requiring qualifications (since 19 Feb 2020)
    • (3)SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Feb 2020)
    • (4)SMF16 Compliance Oversight (since 19 Feb 2020)
    • (5)SMF3 Executive Director (since 19 Feb 2020)
    • (6)[FCA CF] CASS oversight function (19 Feb 2020 to 20 Feb 2020)
    • (4)[PRA CF] Key function holder (19 Feb 2020 to 20 Feb 2020)
    • (5)[FCA CF] Significant management (19 Feb 2020 to 20 Feb 2020)

Recent activity

Updates to this firm's record on the FCA register.

  1. controlled function removed: [FCA CF] Functions requiring qualifications

  2. controlled function removed: 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose

  3. controlled function removed: Responsible for Insurance Distribution

  4. controlled function removed: SMF16 Compliance Oversight

  5. controlled function removed: SMF17 Money Laundering Reporting Officer (MLRO)

  6. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds

  7. controlled function removed: 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose

  8. controlled function removed: SMF3 Executive Director

  9. controlled function removed: Responsibility for MCD Intermediation

  10. controlled function removed: [FCA CF] Functions requiring qualifications