PROFILE FINANCIAL SOLUTIONS LTD

Date authorised
20 June 2013
Companies House
07731925
Last scraped
2 weeks ago
Watch for changes

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.

  • James Stephen John Clancy

    IRN JSC00007

    • [FCA CF] Client dealing (9 Dec 2019 to 16 Apr 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Apr 2021)
    • CF30 Customer (30 Nov 2015 to 8 Dec 2019)
  • John Clinton Hewett

    IRN JCH01088

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Jul 2023)
    • CF2 Non Executive Director (12 Sep 2019 to 8 Dec 2019)
  • John Rowland Evans

    IRN JRE00021

    • [FCA CF] Client dealing (16 Mar 2020 to 26 Aug 2020)
    • [FCA CF] Functions requiring qualifications (16 Mar 2020 to 26 Aug 2020)
  • Jonathan Matthew Orton

    IRN JMO00019

    • CF30 Customer (25 Jan 2016 to 27 Mar 2017)
  • Jonathan William Procter

    IRN JWP01076

    • CF30 Customer (29 Jun 2016 to 17 Mar 2017)
  • Jordan Mayo

    IRN JXM02935

    • SMF3 Executive Director (9 Dec 2019 to 31 Oct 2023)
    • SMF1 Chief Executive (9 Dec 2019 to 31 Oct 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 31 Oct 2023)
    • Responsible for Insurance Mediation (13 Feb 2017 to 30 Sep 2018)
    • CF1 Director (29 Nov 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Nov 2016 to 17 Jan 2019)
    • CF11 Money Laundering Reporting (29 Nov 2016 to 17 Jan 2019)
    • CF3 Chief Executive (29 Nov 2016 to 8 Dec 2019)
  • Julia Swain

    IRN JMS01518

    • [FCA CF] Significant management (9 Dec 2019 to 13 Dec 2019)
    • CF29 Significant management (30 Nov 2017 to 8 Dec 2019)
  • Laura Barlow

    IRN LXW00065

    • CF30 Customer (16 Dec 2015 to 23 May 2017)
  • Lewis Warren Cruickshank

    IRN LWC01014

    • CF30 Customer (5 Sep 2017 to 21 Oct 2017)
  • Mark Collins

    IRN MXC00048

    • CF30 Customer (9 Jul 2014 to 30 Nov 2015)
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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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