Prosperis Limited

• Principal Place of Business

  1st Floor

  9 St James Business Park

  Knaresborough

  North Yorkshire

  HG5 8QB

  UNITED KINGDOM

  Phone

  +441423223640

  Web

  https://www.prosperis.co.uk

• Complaints Contact

  1st Floor

  9 St James Business Park

  Knaresborough

  HG5 8QB

  UNITED KINGDOM

  Phone

  +441423223640

• 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

• 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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, Structured Deposits, 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.

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Consumer Loans

• Loan Servicing

• 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, Structured Deposits, 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.

• Adam Yates

  IRN AXY01177

  • CF30 Customer (21 Jan 2013 to 18 Jun 2013)
• Alan Richard Wood

  IRN ARW01154

  • CF11 Money Laundering Reporting (18 Nov 2009 to 28 Feb 2011)
  • CF30 Customer (1 Nov 2007 to 25 Dec 2009)
  • CF10 Compliance Oversight (28 Jan 2005 to 28 Feb 2011)
  • CF21 Investment Adviser (15 Jan 2004 to 31 Oct 2007)
• Andrew David Howson

  IRN ADH01110

  • [FCA CF] Client dealing (1 Dec 2021 to 31 Jul 2022)
  • [FCA CF] Functions requiring qualifications (1 Dec 2021 to 31 Jul 2022)
• Andrew David Wright

  IRN ADW01083

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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 1 Apr 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Feb 2025)
• Andrew John Frazer

  IRN AJF01174

  • CF30 Customer (1 Nov 2007 to 1 Mar 2012)
  • CF21 Investment Adviser (21 Feb 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (14 Sep 2005 to 21 Feb 2007)
• Anthony John Flowers

  IRN AJF01193

  • CF30 Customer (1 Nov 2007 to 14 Nov 2008)
  • CF22 Investment Adviser (Trainee) (10 Aug 2007 to 31 Oct 2007)
• Anthony O'Donnell

  IRN ATO00001

  • CF30 Customer (26 Mar 2009 to 15 Oct 2009)
• Ashley McCartney

  IRN AXM13278

  • [FCA CF] Functions requiring qualifications (17 Nov 2021 to 1 Jan 2024)
  • [FCA CF] Client dealing (17 Nov 2021 to 1 Jan 2024)
• Beverley Webster

  IRN BXW01158

  • CF30 Customer (1 Nov 2007 to 20 Dec 2010)
  • CF21 Investment Adviser (22 Feb 2007 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (13 Oct 2005 to 31 Mar 2009)
  • CF3 Chief Executive (27 Jul 2005 to 20 Dec 2010)
  • CF22 Investment Adviser (Trainee) (30 Jun 2005 to 22 Feb 2007)
  • CF1 Director (25 Mar 2003 to 4 Dec 2003)
• Cathy Stewart

  IRN CXS01464

  • CF22 Investment Adviser (Trainee) (26 Jan 2005 to 31 Mar 2006)

No changes recorded yet.