Professional Pensions and Investments Limited

• Principal Place of Business

  1 Oakridge Park

  Southampton Road

  Whaddon

  Salisbury

  Wiltshire

  SP5 3HT

  UNITED KINGDOM

  Phone

  +4401722713888

• Complaints Contact

  One Oakridge Park

  Southampton Road

  Whaddon

  Salisbury

  Wiltshire

  SP5 3HT

  UNITED KINGDOM

  Phone

  +4401722713888

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  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, Unit, Warrant

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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.

• 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

  For Professional, Retail (Investment)

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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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• 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.

• John Burrett

  IRN JXB00226

  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (13 Apr 2019 to 8 Dec 2019)
• Jonathan Anthony Collins

  IRN JAC00035

  • 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] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (8 Oct 2004 to 31 Mar 2009)
  • CF10 Compliance Oversight (5 Feb 2004 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (25 Apr 2003 to 8 Dec 2019)
  • CF1 Director (25 Apr 2003 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (11 Feb 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (11 Feb 2003 to 31 Oct 2007)
• Julie Kirsten Straughan

  IRN JKS00013

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Sep 2003 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Sep 2003 to 31 Oct 2007)
• Mark Nigel Garnett

  IRN MNG00005

  • CF30 Customer (28 Apr 2016 to 31 Dec 2018)
  • CF1 Director (AR) (28 Apr 2016 to 31 Dec 2018)
• Nigel Robert Hill

  IRN NRH00006

  • CF30 Customer (1 Nov 2007 to 22 Dec 2016)
  • CF1 Director (19 Jan 2004 to 22 Dec 2016)
  • CF21 Investment Adviser (6 Oct 2003 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (6 Oct 2003 to 31 Oct 2007)
• Stanley Keith Hooper

  IRN SKH01022

  • CF1 Director (24 Apr 2002 to 1 Oct 2004)
  • CF10 Compliance Oversight (24 Apr 2002 to 1 Feb 2004)
  • CF11 Money Laundering Reporting (24 Apr 2002 to 2 Dec 2003)
  • CF21 Investment Adviser (24 Apr 2002 to 31 Dec 2004)
  • CF24 Pension Transfer Specialist (24 Apr 2002 to 31 Dec 2004)
  • CF8 Apportionment and Oversight (24 Apr 2002 to 1 Oct 2004)

• Advisory Investment Services Limited (no longer appointed)

  FRN 744235 · Appointed 15 Apr 2016 · Until 31 Dec 2018

No changes recorded yet.