RTS Financial Planning Limited

• Principal Place of Business

  R T S Financial Planning

  Luminous House

  300 South Row

  Milton Keynes

  MK9 2FR

  UNITED KINGDOM

  Phone

  +4401908592544

  Web

  https://www.rtsfinancialplanning.co.uk

• Complaints Contact

  R T S Financial Planning

  Luminous House

  300 South Row

  Milton Keynes

  MK9 2FR

  UNITED KINGDOM

  Phone

  +4401908592544

• 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

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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.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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, Funeral plan contract, 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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  • · 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”.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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.

• Basic Pension Advice

  For Professional, Retail (Investment), Stakeholder products

• Carl Roberts

  IRN CXR01627

  • 11. Pension transfer specialist
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • [FCA CF] Significant management (since 9 Dec 2020)
  • 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 (10 Apr 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (10 Apr 2017 to 8 Dec 2019)
  • CF1 Director (10 Apr 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (10 Apr 2017 to 30 Sep 2018)
  • CF30 Customer (10 Apr 2017 to 8 Dec 2019)
• Karen Jean Roberts

  IRN KJR01086

  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (5 Dec 2017 to 8 Dec 2019)

No changes recorded yet.