PROSPER FINANCIAL SOLUTIONS LIMITED

• Principal Place of Business

  West Barn

  Wimborne Road

  Blandford Forum

  Dorset

  DT11 9HN

  UNITED KINGDOM

  Phone

  +441258452332

  Web

  https://www.prosperfinancialsolutions.com

• Complaints Contact

  West Barn

  Wimborne Road

  Blandford Forum

  Dorset

  DT11 9HN

  UNITED KINGDOM

  Phone

  +441258452332

• Buy-to-Let Mortgage Admin

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment)

• 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 Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

• 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 Hide limitations

  • · 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling which is provided in connection with investment advice.
  • · This permission is limited to debt counselling with no debt management activity

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Basic Pension Advice

  For Professional, Retail (Investment), Stakeholder products

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Gerald Joseph Stanley

  IRN GJS00031

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Oct 2024)
  • SMF16 Compliance Oversight (since 2 Oct 2024)
  • Responsibility for MCD Intermediation (since 24 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [PRA CF] Key function holder (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (7 Jan 2014 to 9 Mar 2015)
  • CF10 Compliance Oversight (23 Oct 2013 to 9 Mar 2015)
  • CF1 Director (2 Apr 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (2 Apr 2013 to 30 Sep 2018)
• Jayde Sidoli

  IRN JXS85266

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 15 Oct 2024)
• Kenneth John Chapman

  IRN KJC01057

  • CF1 Director (AR) (since 13 Jan 2025)
  • CF30 Customer (since 13 Jan 2025)
• Nancy Devine

  IRN NXD01151

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 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 (3 Jan 2014 to 8 Dec 2019)
• Simon Paul Fry

  IRN SPF00003

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (9 Dec 2019 to 26 Mar 2026)
  • SMF16 Compliance Oversight (9 Dec 2019 to 29 Jul 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Jul 2024)
  • SMF3 Executive Director (9 Dec 2019 to 11 Mar 2026)
  • [FCA CF] Benchmark submission and administration (9 Dec 2019 to 26 Mar 2026)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 2 Oct 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 Oct 2024)
  • [PRA CF] Key function holder (9 Dec 2019 to 26 Mar 2026)
  • Responsible for Insurance Distribution (1 Oct 2018 to 29 Jul 2024)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 29 Jul 2024)
  • Responsible for Insurance Mediation (2 Apr 2015 to 30 Sep 2018)
  • CF1 Director (2 Apr 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Apr 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Apr 2015 to 8 Dec 2019)
  • CF30 Customer (2 Jul 2013 to 8 Dec 2019)
• Thomas Eason

  IRN TXE86039

  • [FCA CF] Client dealing (24 Nov 2023 to 11 Jun 2024)
  • [FCA CF] Functions requiring qualifications (24 Nov 2023 to 11 Jun 2024)

• Birchin Lane Wealth Advisory Ltd

  FRN 1023322 · Appointed 13 Jan 2025

• Prosper Life Limited (no longer appointed)

  FRN 826829 · Appointed 23 Nov 2018 · Until 9 Feb 2021 · Tied agent

• Prosper Protect Limited (no longer appointed)

  FRN 802251 · Appointed 20 Feb 2018 · Until 24 Feb 2020

No changes recorded yet.