SERENITY FINANCIAL PLANNING LTD

• Principal Place of Business

  76 Capel Road

  Barnet

  Hertfordshire

  EN4 8JF

  UNITED KINGDOM

  Phone

  +4401522845004

  Web

  https://www.serenityfp.com

• Complaints Contact

  76 Capel Road

  Barnet

  Hertfordshire

  EN4 8JF

  UNITED KINGDOM

  Phone

  +4401522845004

• 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 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 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

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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, 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.

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling which is provided in connection with investment advice.

• 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

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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.

• Aaron Peter Eriskin

  IRN APE01014

  • [FCA CF] Client dealing (9 Dec 2019 to 23 Nov 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Nov 2021)
  • CF30 Customer (6 Apr 2019 to 8 Dec 2019)
• Andrew James Owain Hart

  IRN AXH01748

  • CF30 Customer (12 Jul 2010 to 1 Jul 2017)
• Andrew Setterfield

  IRN AXS00191

  • CF30 Customer (12 May 2011 to 17 Apr 2015)
• Anne Christina Winter

  IRN ACW01053

  • CF30 Customer (27 Aug 2013 to 1 Sep 2017)
• Anthony McMenamin

  IRN AXM00317

  • CF30 Customer (1 Jul 2017 to 30 Nov 2018)
• Caroline Ann Keegan

  IRN CAK00003

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jan 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Jan 2021)
  • CF30 Customer (17 Aug 2012 to 8 Dec 2019)
• Chukwudebe David Leandro Onwuejeogwu Isioma

  IRN CDO01022

  • [FCA CF] Client dealing (10 Jan 2022 to 30 Apr 2022)
  • [FCA CF] Functions requiring qualifications (10 Jan 2022 to 30 Apr 2022)
• Clive Thompson

  IRN CXT00050

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF3 Executive Director (since 5 Aug 2021)
  • Responsible for Insurance Distribution (since 5 Aug 2021)
  • SMF16 Compliance Oversight (since 5 Aug 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Aug 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF29 Significant management (4 Aug 2016 to 8 Dec 2019)
  • CF1 Director (15 Oct 2015 to 4 Aug 2016)
  • CF30 Customer (29 Apr 2009 to 8 Dec 2019)
  • CF1 Director (AR) (29 Apr 2009 to 6 Dec 2011)
• Constantina Weeks

  IRN TXB00036

  • 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
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 29 Oct 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Oct 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 2 Jul 2024)
  • Responsibility for MCD Intermediation (5 Oct 2017 to 2 Jul 2024)
  • CF10 Compliance Oversight (5 Oct 2017 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (17 Jul 2006 to 30 Sep 2018)
  • CF21 Investment Adviser (17 Jul 2006 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (17 Jul 2006 to 31 Mar 2009)
  • CF1 Director (17 Jul 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (17 Jul 2006 to 10 Sep 2015)
• Darren John Weeks

  IRN DJW00029

  • Responsibility for MCD Intermediation (21 Mar 2016 to 5 Oct 2017)
  • CF10 Compliance Oversight (11 Sep 2015 to 5 Oct 2017)
  • CF1 Director (11 Sep 2015 to 5 Oct 2017)
  • CF11 Money Laundering Reporting (11 Sep 2015 to 5 Oct 2017)

• Blackstone Wealth Management Ltd (no longer appointed)

  FRN 466849 · Appointed 1 Nov 2019 · Until 25 Mar 2021

• City Financial Services Ltd (no longer appointed)

  FRN 447184 · Appointed 24 Apr 2009 · Until 6 Dec 2011

No changes recorded yet.