PROTECT AND INVEST LIMITED

• Principal Place of Business

  3 Mill Court

  Mill Lane

  Newbury

  Berkshire

  RG14 5RE

  UNITED KINGDOM

  Phone

  +441635800820

  Web

  https://www.protect-invest.co.uk

• Complaints Contact

  3 Mill Court

  Mill Lane

  Newbury

  Berkshire

  RG14 5RE

  UNITED KINGDOM

  Phone

  +441635800820

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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 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

• 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”.

• Equity Release Setup

  For Customer, Home reversion plans

• 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 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.

• Benjamin Wernham

  IRN BXW00285

  • [FCA CF] Functions requiring qualifications (7 Feb 2024 to 21 Feb 2024)
• Damian Grant Oke

  IRN DGO01018

  • CF30 Customer (26 Sep 2013 to 9 Jun 2014)
• Elaine Skillen

  IRN EXG01102

  • CF30 Customer (20 Dec 2013 to 29 May 2014)
• Marc Sean Sullivan

  IRN MSS01195

  • CF30 Customer (5 Jan 2015 to 29 Jun 2015)
• Matthew Leslie Nelson

  IRN MXN01318

  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 11. Pension transfer specialist
  • 9A. Advising on P2P agreements
  • SMF16 Compliance Oversight (since 30 Mar 2020)
  • Responsible for Insurance Distribution (since 30 Mar 2020)
  • Responsibility for MCD Intermediation (since 30 Mar 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Jun 2022)
  • [PRA CF] Key function holder (9 Dec 2019 to 30 Jun 2022)
  • CF1 Director (6 Sep 2019 to 8 Dec 2019)
  • CF30 Customer (18 Jul 2017 to 8 Dec 2019)
• Melvin Stephen Czapalski

  IRN MXC00118

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 14 Apr 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 30 Jun 2022)
  • [PRA CF] Key function holder (9 Dec 2019 to 18 Aug 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 8 Apr 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (21 Sep 2007 to 30 Sep 2018)
  • CF1 Director (21 Sep 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (21 Sep 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (21 Sep 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (21 Sep 2007 to 31 Mar 2009)
  • CF21 Investment Adviser (21 Sep 2007 to 31 Oct 2007)
• Michael Graham Roberts

  IRN MGR01043

  • CF1 Director (AR) (6 Jun 2019 to 19 Jun 2020)
  • CF1 Director (17 Sep 2010 to 29 Aug 2019)
  • CF30 Customer (6 Mar 2009 to 19 Jun 2020)
• Nicholas James Hutchings

  IRN NJH00046

  • CF30 Customer (13 Mar 2019 to 19 Jun 2020)
• Sarah Elizabeth Blyth

  IRN SXB23210

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Jul 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 28 Jul 2022)
  • CF30 Customer (7 Nov 2019 to 8 Dec 2019)
• Stephen Mark Pye

  IRN SMP01184

  • CF30 Customer (18 Jan 2016 to 11 Apr 2017)

• Spend Time Limited (no longer appointed)

  FRN 839883 · Appointed 9 Apr 2019 · Until 19 Jun 2020

No changes recorded yet.