PROSPERITY IFA LIMITED

• Principal Place of Business

  Tubwell Farm

  Tubwell Lane

  Crowborough

  East Sussex

  TN6 3RQ

  UNITED KINGDOM

  Phone

  +441892300303

  Web

  https://www.prosperityifa.com

• Complaints Contact

  Tubwell Farm

  Tubwell Lane

  Crowborough

  East Sussex

  TN6 3RQ

  UNITED KINGDOM

  Phone

  +441892300303

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

  Show 3 limitations Hide limitations

  • · Subject to this activity being limited to a non-mainstream regulated 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 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.

• Investment Advice (no pensions)

  For 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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 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.

• Robert Cecil Field

  IRN RXF00087

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Sep 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Sep 2025)
• Roya Ansary

  IRN RXA01496

  • CF30 Customer (16 May 2017 to 29 Nov 2017)
• Ryan Allen

  IRN RXA01702

  • CF30 Customer (13 Apr 2017 to 29 Oct 2019)
• Simon Charles Munday

  IRN SCM01138

  • 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. Giving personal recommendations on long-term care insurance contracts
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF16 Compliance Oversight (since 27 Feb 2020)
  • [FCA CF] Functions requiring qualifications (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)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • CF11 Money Laundering Reporting (13 Apr 2017 to 8 Dec 2019)
  • CF1 Director (13 Apr 2017 to 8 Dec 2019)
  • CF30 Customer (13 Apr 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (13 Apr 2017 to 30 Sep 2018)
• Simon Kirkpatrick

  IRN SXK00043

  • 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 9 Mar 2020)
  • [FCA CF] Client dealing (since 9 Mar 2020)
• Stephen Baker

  IRN SJB01490

  • CF30 Customer (13 Apr 2017 to 20 Jul 2018)
• Stuart Dennis Mason Bigham

  IRN SDB01143

  • 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 Jun 2025)
  • [FCA CF] Functions requiring qualifications (since 9 Jun 2025)

• Look 4 Cover Ltd (no longer appointed)

  FRN 567181 · Appointed 29 Mar 2020 · Until 6 Jan 2021

• Enter Financial Limited (no longer appointed)

  FRN 665623 · Appointed 22 May 2017 · Until 10 Jul 2018

• Totus Wealth Management Ltd (no longer appointed)

  FRN 778768 · Appointed 10 May 2017 · Until 13 Dec 2017

No changes recorded yet.