PROFILE FINANCIAL SOLUTIONS LTD

• 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

• 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

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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, 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

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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, 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.

• Consumer Loans

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  • · 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

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  • · 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

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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.

• Paul James Rowe

  IRN PJR00071

  • [FCA CF] Client dealing (9 Dec 2019 to 21 May 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 May 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 21 May 2021)
  • CF30 Customer (29 May 2018 to 8 Dec 2019)
• Paul Tomlinson

  IRN PXT01501

  • CF10 Compliance Oversight (16 Sep 2013 to 16 Jan 2015)
  • CF11 Money Laundering Reporting (16 Sep 2013 to 16 Jan 2015)
• Peter Graham Hiley

  IRN PGH01070

  • CF30 Customer (8 Sep 2017 to 11 Oct 2017)
• Rachel Lorraine Blundell

  IRN RLB01141

  • CF29 Significant management (10 May 2017 to 30 Jun 2018)
• Ralph Martin Kirkbride

  IRN RMK01050

  • [FCA CF] Functions requiring qualifications (8 Mar 2021 to 1 Dec 2021)
  • [FCA CF] Manager of certification employee (8 Mar 2021 to 1 Dec 2021)
• Rene Levesley

  IRN RXL01260

  • SMF16 Compliance Oversight (9 Dec 2019 to 20 Mar 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Mar 2024)
  • CF10 Compliance Oversight (16 Jan 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (16 Jan 2019 to 8 Dec 2019)
• Richard Malcolm Penney

  IRN RMP00034

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 15 Nov 2021)
  • [FCA CF] Client dealing (since 15 Nov 2021)
  • [FCA CF] Client dealing (16 Mar 2020 to 12 Mar 2021)
  • [FCA CF] Functions requiring qualifications (16 Mar 2020 to 12 Mar 2021)
• Richard Thomas Allen

  IRN RTA00008

  • [FCA CF] Functions requiring qualifications (16 Mar 2020 to 2 Jun 2020)
  • [FCA CF] Client dealing (16 Mar 2020 to 2 Jun 2020)
• Robert Charles Buckley

  IRN RCB01173

  • CF30 Customer (22 Jul 2013 to 22 Jan 2014)
• Samantha Jane Packham

  IRN SJP01356

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 Sep 2017 to 8 Dec 2019)

• CCP Consultancy NE Ltd (no longer appointed)

  FRN 774093 · Appointed 15 Mar 2017 · Until 16 Oct 2017

• EDS Claims Ltd (no longer appointed)

  FRN 772949 · Appointed 2 Mar 2017 · Until 30 Aug 2017

• Clickso Financial Services Ltd (no longer appointed)

  FRN 771910 · Appointed 17 Feb 2017 · Until 6 Feb 2019

• Express Newspapers (no longer appointed)

  FRN 455524 · Appointed 29 Dec 2015 · Until 4 Aug 2016

No changes recorded yet.