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.

• Matthew Tallant

  IRN MXT02271

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Dec 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2021)
  • CF30 Customer (31 Jul 2018 to 8 Dec 2019)
• Melanie Jane Brattley-Lockwood

  IRN MJB00011

  • CF22 Investment Adviser (Trainee) (5 Aug 2004 to 11 Sep 2006)
• Michael Bains

  IRN MXB00326

  • CF21 Investment Adviser (1 Dec 2004 to 20 Aug 2007)
  • CF22 Investment Adviser (Trainee) (15 Jan 2004 to 1 Dec 2004)
• Niall Joseph Gunn

  IRN NJG00003

  • 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
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (16 May 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (16 May 2011 to 8 Dec 2019)
  • CF3 Chief Executive (18 Mar 2011 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (8 Jun 2006 to 30 Sep 2018)
  • CF1 Director (8 Jun 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (15 Jan 2004 to 31 Oct 2007)
• Nicholas Andrew Utting

  IRN NAU00001

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Dec 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Dec 2022)
  • CF30 Customer (20 Nov 2012 to 8 Dec 2019)
• Oliver Zuba

  IRN OXZ00004

  • 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 Jun 2022)
  • [FCA CF] Client dealing (since 1 Jun 2022)
• Paul Christopher Meehan

  IRN PCM00011

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (3 Apr 2013 to 8 Dec 2019)
• Paul Gordon Taylor

  IRN PXT01214

  • CF22 Investment Adviser (Trainee) (15 Jan 2004 to 9 Feb 2004)
• Rachel Joanne Evans

  IRN RJE00027

  • CF22 Investment Adviser (Trainee) (15 Jan 2004 to 9 Feb 2004)
• Raghav Behl

  IRN RXB00598

  • 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] Functions requiring qualifications (since 23 Sep 2024)
  • [FCA CF] Client dealing (since 23 Sep 2024)

No changes recorded yet.