PROFILE FINANCIAL SOLUTIONS LTD

Date authorised
20 June 2013
Companies House
07731925
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Profile Financial Solutions Ltd
    Norwest Court
    Guildhall Street
    Preston
    Lancashire
    PR1 3NU
    UNITED KINGDOM
    Phone
    +4401772804404
    Web
    https://www.profilepensions.co.uk

  • Complaints Contact

    Profile Financial Solutions Ltd
    Norwest Court
    Guildhall Street
    Preston
    Lancashire
    PR1 3NU
    UNITED KINGDOM
    Phone
    +4401772804404

What this firm is allowed to do

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

  • 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
    • · 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, Unit, Warrant

    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.

  • 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, 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, Unit, Warrant

    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.

  • Consumer Loans

    Show 1 limitation
    • · Limited lending that is in connection with the repayment of fees [relating to the provision of professional services] / [which are only for ongoing services or regular premiums]

  • Loan Servicing

    Show 1 limitation
    • · Limited Lending that is in connection with the repayment of fees [relating to the provision of professional services]/ [ which are only for ongoing services or regular premiums]

  • 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, Unit, Warrant

    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.

Approved individuals

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

  • Aarti Arora

    IRN AXA02068

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 1 Nov 2022)
    • CF2 Non Executive Director (19 Aug 2019 to 8 Dec 2019)
  • Adam Charles Wearing

    IRN ACW01168

    • SMF3 Executive Director (9 Dec 2019 to 30 Nov 2023)
    • CF1 Director (25 Oct 2017 to 8 Dec 2019)
    • CF29 Significant management (25 Oct 2017 to 8 Dec 2019)
  • Alan Pitt

    IRN AWP01030

    • CF30 Customer (10 Feb 2014 to 24 Oct 2016)
  • Alistair Crook

    IRN ADC01203

    • CF30 Customer (18 Jan 2016 to 6 Jan 2019)
  • Andrew Simon Finn

    IRN ASF01057

    • [FCA CF] Client dealing (5 Oct 2020 to 16 Apr 2021)
    • [FCA CF] Functions requiring qualifications (5 Oct 2020 to 16 Apr 2021)
    • CF30 Customer (14 Oct 2016 to 15 Jan 2019)
  • Anna Josefine Jonsson

    IRN AXJ08142

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (9 Nov 2018 to 8 Dec 2019)
  • Anna Marie Payne

    IRN AMP00043

    • CF30 Customer (7 Oct 2014 to 10 May 2017)
  • Anna Steele

    IRN ADW01115

    • CF30 Customer (4 Jun 2015 to 10 May 2017)
  • Anthony John O'Malley

    IRN AJO00011

    • CF30 Customer (22 Sep 2017 to 20 Jul 2018)
  • Ashleigh Louise Ramsbottom

    IRN AXR00935

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 1 Jun 2024)
    • [FCA CF] Functions requiring qualifications (since 1 Jun 2024)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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