Prosperity Financial Management Limited

Date authorised
2 April 2024
Companies House
04703113
Last scraped
15 hours ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Prosperity Financial Management Limited
    195 High Street
    North Yorkshire
    DL7 8LF
    UNITED KINGDOM
    Phone
    +441609778877
    Web
    https://www.prosperity-ifa.co.uk

  • Complaints Contact

    Prosperity Financial Management Limited
    185 High Street
    North Yorkshire
    DL7 8LF
    UNITED KINGDOM
    Phone
    +441609778877

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • Pension Transfer Advice

    For Professional, Retail (Investment), Unit, Stakeholder pension scheme, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Life Policy

    Show 2 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.
    • · 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 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
    • · 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

    Show 2 limitations
    • · Firm is not permitted to carry on this activity in relation to lifetime mortgages
    • · Firm is permitted to carry on this activity in relation to first charge mortgages only

  • Authorised to Operate

    Show 1 limitation
    • · 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
    • · 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

    Show 2 limitations
    • · Firm is not permitted to carry on this activity in relation to lifetime mortgages
    • · Firm is permitted to carry on this activity in relation to first charge mortgages only

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • 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 (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Andrea Jane Swaine

    IRN AJC00139

    • (5)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (6)[FCA CF] Client dealing (since 8 Apr 2024)
    • (7)[FCA CF] Functions requiring qualifications (since 3 Apr 2024)
  • Andrew George Hodgson

    IRN AGH00023

    • (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (3)[FCA CF] Client dealing (since 4 Apr 2024)
    • (4)[FCA CF] Functions requiring qualifications (since 2 Apr 2024)
  • Colin Andrew Fawcett

    IRN CAF00015

    • (14)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (15)4. Giving personal recommendations on retail investment products which are not broker funds
    • (21)[FCA CF] Client dealing (since 4 Apr 2024)
    • (22)[FCA CF] Functions requiring qualifications (since 4 Apr 2024)
    • (16)Responsibility for MCD Intermediation (since 2 Apr 2024)
    • (17)Responsible for Insurance Distribution (since 2 Apr 2024)
    • (18)SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Apr 2024)
    • (19)SMF16 Compliance Oversight (since 2 Apr 2024)
    • (20)SMF3 Executive Director (since 2 Apr 2024)
  • Paul Emilio Angelo Bonomini

    IRN PEB00025

    • (10)4. Giving personal recommendations on retail investment products which are not broker funds
    • (8)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (9)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (12)[FCA CF] Client dealing (since 4 Apr 2024)
    • (13)[FCA CF] Functions requiring qualifications (since 4 Apr 2024)
    • (11)SMF3 Executive Director (since 2 Apr 2024)

Recent activity

Updates to this firm's record on the FCA register.

  1. controlled function added: (14)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  2. controlled function added: (13)[FCA CF] Functions requiring qualifications

  3. controlled function added: (12)[FCA CF] Client dealing

  4. controlled function added: (11)SMF3 Executive Director

  5. controlled function added: (10)4. Giving personal recommendations on retail investment products which are not broker funds

  6. controlled function added: (9)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  7. controlled function added: (8)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose

  8. controlled function added: (7)[FCA CF] Functions requiring qualifications

  9. controlled function added: (6)[FCA CF] Client dealing

  10. controlled function added: (5)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose

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