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

  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.

• Julian Garewal

  IRN JXG00015

  • CF1 Director (24 Jan 2005 to 7 Feb 2005)
  • CF8 Apportionment and Oversight (24 Jan 2005 to 7 Feb 2005)
  • CF11 Money Laundering Reporting (24 Jan 2005 to 7 Feb 2005)
  • CF10 Compliance Oversight (24 Jan 2005 to 7 Feb 2005)
• Kathryn Anne Bastow

  IRN KAA00003

  • CF30 Customer (5 Jan 2016 to 17 Jul 2018)
• Katy Ann Calvert

  IRN KXC44280

  • [FCA CF] Functions requiring qualifications (9 Feb 2022 to 1 Nov 2023)
  • [FCA CF] Client dealing (9 Feb 2022 to 1 Nov 2023)
• Kevin Newton

  IRN KXN01071

  • CF28 Systems and controls (1 Nov 2007 to 9 Jun 2009)
  • CF1 Director (21 Jan 2005 to 9 Jun 2009)
  • CF11 Money Laundering Reporting (21 Jan 2005 to 9 Jun 2009)
  • CF13 Finance (15 Jan 2004 to 31 Oct 2007)
• Leslie Alexander McGuffog

  IRN LXM01286

  • CF11 Money Laundering Reporting (15 Jan 2004 to 31 Dec 2004)
  • CF21 Investment Adviser (15 Jan 2004 to 31 Dec 2004)
  • CF10 Compliance Oversight (15 Jan 2004 to 31 Dec 2004)
  • CF24 Pension Transfer Specialist (15 Jan 2004 to 11 Jan 2005)
  • CF1 Director (15 Jan 2004 to 31 Dec 2004)
• Lisa Marie Bulloch

  IRN LMT00008

  • CF21 Investment Adviser (1 Dec 2004 to 24 Dec 2004)
  • CF22 Investment Adviser (Trainee) (15 Jan 2004 to 1 Dec 2004)
• Luke William Atherall

  IRN LXA00244

  • 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 1 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2024)
• MARTIN WARD

  IRN MXW02023

  • [FCA CF] Client dealing (1 Aug 2022 to 24 Apr 2023)
• Mark Chandler

  IRN MXC01963

  • CF30 Customer (1 Nov 2007 to 31 May 2009)
  • CF21 Investment Adviser (21 Feb 2007 to 31 Oct 2007)
  • CF1 Director (21 Nov 2006 to 31 May 2009)
  • CF22 Investment Adviser (Trainee) (19 May 2006 to 21 Feb 2007)
• Matthew Harris

  IRN MXH02396

  • 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
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 4 Nov 2020)
  • [FCA CF] Client dealing (since 4 Nov 2020)

No changes recorded yet.