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

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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, 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.

• Debt Advice

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  • · 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

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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.

• Christopher Masley

  IRN CDM01053

  • CF22 Investment Adviser (Trainee) (15 Jan 2004 to 28 May 2004)
• Darren Michael Maroney

  IRN DMM01133

  • [FCA CF] Client dealing (25 Aug 2022 to 30 Jun 2023)
  • [FCA CF] Functions requiring qualifications (25 Aug 2022 to 30 Jun 2023)
• David Anthony McLaughlin

  IRN DAM00040

  • 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] Functions requiring qualifications (since 1 Feb 2020)
  • [FCA CF] Client dealing (since 1 Feb 2020)
• David Gerard Carrington

  IRN DGC01089

  • 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 (6 Jan 2014 to 8 Dec 2019)
• David Howarth

  IRN DXH01447

  • CF22 Investment Adviser (Trainee) (15 Jan 2004 to 24 Dec 2004)
• Devon Bradley Postlethwaite

  IRN DXP00525

  • [FCA CF] Client dealing (3 Jul 2024 to 20 Oct 2025)
  • [FCA CF] Functions requiring qualifications (3 Jul 2024 to 20 Oct 2025)
• Elaine Jane Gwinnett

  IRN EJG00012

  • CF22 Investment Adviser (Trainee) (15 Jan 2004 to 30 Jul 2004)
• Gavin Marshall Hawdon

  IRN GMH00006

  • [FCA CF] Manager of certification employee (1 Apr 2022 to 1 Jan 2024)
• Gordon Isla Stuart

  IRN GIS01012

  • CF22 Investment Adviser (Trainee) (9 Nov 2004 to 20 Dec 2006)
• Graham Bernard Laverick

  IRN GBL00003

  • [PRA CF] Key function holder (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Dec 2021)
  • CF30 Customer (7 Sep 2016 to 8 Dec 2019)

No changes recorded yet.