PROFESSIONAL FINANCIAL PLANNING SERVICES (PFPS) LTD

• Principal Place of Business

  The Old Milking Parlour

  St. Breock

  Wadebridge

  Cornwall

  PL27 7LW

  UNITED KINGDOM

  Phone

  +4401208643036

• Complaints Contact

  The Old Milking Parlour

  St. Breock

  Wadebridge

  Cornwall

  PL27 7LW

  UNITED KINGDOM

  Phone

  +4401208643036

• 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

  Show 2 limitations 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.
  • · 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, 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.

• Authorised to Operate

  For Professional, Retail (Investment)

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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.

• Allison Irene Jordan

  IRN AIJ01007

  • CF21 Investment Adviser (21 Jan 2004 to 13 Feb 2006)
• David Moffat Lewis

  IRN DML00025

  • CF30 Customer (15 Dec 2008 to 6 Oct 2011)
• Dean William Howe

  IRN DWH00025

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 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 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF8 Apportionment and Oversight (19 Nov 2007 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (19 Nov 2007 to 8 Dec 2019)
  • CF28 Systems and controls (19 Nov 2007 to 8 Dec 2019)
  • CF29 Significant management (19 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (19 Nov 2007 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (7 Oct 2002 to 31 Oct 2007)
  • CF1 Director (7 Oct 2002 to 8 Dec 2019)
• Nigel John Alexander Clark

  IRN NJC00043

  • CF21 Investment Adviser (1 Mar 2004 to 8 May 2006)
• Rodney Gallimore Bentley

  IRN RXB01724

  • CF21 Investment Adviser (15 May 2006 to 30 Nov 2006)
• Simon Cole Phillipson

  IRN SCP00010

  • CF30 Customer (1 Nov 2007 to 9 Nov 2007)
  • CF1 Director (7 Oct 2002 to 9 Nov 2007)
  • CF10 Compliance Oversight (7 Oct 2002 to 9 Nov 2007)
  • CF11 Money Laundering Reporting (7 Oct 2002 to 9 Nov 2007)
  • CF21 Investment Adviser (7 Oct 2002 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (7 Oct 2002 to 9 Nov 2007)
• Stuart William Whitworth

  IRN SXW00133

  • CF30 Customer (15 Dec 2008 to 21 Dec 2012)

No changes recorded yet.