REGENTIA LIFESTYLE PLANNING LTD

• Principal Place of Business

  17A Appleton Court

  Durkar

  Wakefield

  West Yorkshire

  WF2 7AR

  UNITED KINGDOM

  Phone

  +441924566010

  Web

  https://www.regentia.co.uk

• Complaints Contact

  17A Appleton Court

  Durkar

  Wakefield

  West Yorkshire

  WF2 7AR

  UNITED KINGDOM

  Phone

  +441924566010

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, 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

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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 Commercial, 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, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, 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, 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 Commercial, 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, 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.

• Adam Stuart Carnall

  IRN ASC01131

  • CF30 Customer (25 May 2016 to 13 Mar 2017)
• Alan Paul Rafferty

  IRN APR01078

  • CF30 Customer (23 Jun 2014 to 9 Dec 2014)
• Amy Victoria Precious

  IRN AVP01035

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 1 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2023)
• Andrew Christopher Bonner

  IRN ACB01237

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 3 Feb 2025)
  • [FCA CF] Client dealing (since 3 Feb 2025)
• Christopher John Margetts

  IRN CJM00048

  • CF30 Customer (1 Nov 2007 to 31 May 2010)
  • CF21 Investment Adviser (4 Jan 2005 to 31 Oct 2007)
• Daniel Lee Walton

  IRN DLW01071

  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 6 Dec 2018)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 27 Jun 2016)
  • Responsible for Insurance Mediation (20 Jul 2015 to 30 Sep 2018)
  • CF10 Compliance Oversight (1 Jul 2014 to 27 Jun 2016)
  • CF1 Director (1 Jul 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jul 2014 to 27 Jun 2016)
• Derek Malcolm Gilruth

  IRN DMG00011

  • CF30 Customer (1 Nov 2007 to 14 Oct 2014)
  • CF21 Investment Adviser (4 Jan 2005 to 31 Oct 2007)
  • CF1 Director (4 Jan 2005 to 10 Jun 2014)
  • CF10 Compliance Oversight (4 Jan 2005 to 14 Oct 2014)
• Emma Louise Walton

  IRN ELW01032

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 11 Oct 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 Oct 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 11 Oct 2022)
  • Responsible for Insurance Mediation (12 Sep 2017 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (9 Jun 2016 to 8 Dec 2019)
  • CF1 Director (9 Jun 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 Jun 2016 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (9 Jun 2016 to 11 Oct 2022)
• James Brian Gannon

  IRN JBG00011

  • CF30 Customer (12 Jan 2016 to 27 Jan 2016)
• John Edward Bagshaw

  IRN JEB00069

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Dec 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 19 Dec 2023)
  • CF30 Customer (1 Dec 2016 to 8 Dec 2019)

No changes recorded yet.