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.

  • 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)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

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