Professional Independent Advisers Limited

• Principal Place of Business

  Hayward Court

  2b Tettenhall Road

  Wolverhampton

  West Midlands

  WV1 4SF

  UNITED KINGDOM

  Phone

  +4401902379900

  Web

  https://www.piawm.net

• Complaints Contact

  Hayward Court

  2b Tettenhall Road

  Wolverhampton

  West Midlands

  WV1 4SF

  UNITED KINGDOM

  Phone

  +4401902379900

• 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 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

  • · 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 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

  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.

• 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity.

• 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.

• John Davidson

  IRN JXD00010

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Mar 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Mar 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (29 Dec 2003 to 31 Oct 2007)
  • CF23 Corporate Finance Adviser (29 Dec 2003 to 15 Nov 2004)
• Julie Diane Tew

  IRN JDT00018

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2025)
  • CF30 Customer (5 Mar 2013 to 8 Dec 2019)
• Lizabeth Monk

  IRN LXM00006

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (24 Dec 2003 to 31 Oct 2007)
  • CF23 Corporate Finance Adviser (24 Dec 2003 to 15 Nov 2004)
• Mark Emil Bandurak

  IRN MEB01191

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (23 Jun 2015 to 8 Dec 2019)
• Michael Henry Osborne

  IRN MHO00001

  • CF30 Customer (1 Nov 2007 to 30 Dec 2010)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 15 Nov 2004)
  • CF1 Director (1 Dec 2001 to 15 Nov 2004)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 15 Nov 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Michaelo Andre Bandurak

  IRN MAB00005

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF1 Chief Executive (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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (5 Oct 2007 to 30 Sep 2018)
  • CF10 Compliance Oversight (16 Nov 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (16 Nov 2004 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (16 Nov 2004 to 8 Dec 2019)
  • CF3 Chief Executive (16 Nov 2004 to 8 Dec 2019)
  • CF23 Corporate Finance Adviser (5 Jan 2004 to 15 Nov 2004)
  • CF1 Director (5 Jan 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (5 Jan 2004 to 31 Oct 2007)
• Nicholas Robert Ling

  IRN NRL01050

  • 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] Functions requiring qualifications (since 7 May 2024)
  • [FCA CF] Client dealing (since 7 May 2024)
• Nicola Claire Chapman

  IRN NCC01063

  • [FCA CF] Functions requiring qualifications (25 May 2021 to 16 May 2024)
  • [FCA CF] Client dealing (25 May 2021 to 16 May 2024)
  • CF30 Customer (11 May 2018 to 8 Dec 2019)
• Philip John Corneby

  IRN PJC00015

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (4 Mar 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (4 Mar 2004 to 31 Oct 2007)
• Richard Shelley Bourne

  IRN RSB01168

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Feb 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 Apr 2023)
  • CF30 Customer (17 Sep 2015 to 8 Dec 2019)

No changes recorded yet.