SOUND FINANCIAL PLANNING LIMITED

Date authorised
1 April 2013
Companies House
03980161
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Sound Financial Services LLP
    Phoenix House
    Christopher Martin Road
    Basildon
    Essex
    SS14 3EZ
    UNITED KINGDOM
    Phone
    +4401268567567
    Web
    https://www.soundfp.co.uk

  • Complaints Contact

    Sound Financial Services LLP
    Phoenix House
    Christopher Martin Road
    Basildon
    Essex
    SS14 3EZ
    UNITED KINGDOM
    Phone
    +4401268567567

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Pension Transfer Advice

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

    Show 1 limitation
    • · 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 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
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management activity

  • 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Andrew Mark Hall

    IRN AMH00039

    • 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
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (6 May 2003 to 31 Oct 2007)
    • CF1 Director (6 May 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (6 May 2003 to 31 Oct 2007)
  • Anna Butcher

    IRN AXB04446

    • SMF3 Executive Director (14 Nov 2024 to 31 Dec 2025)
  • David Ellis

    IRN DXE91339

    • SMF16 Compliance Oversight (since 29 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Apr 2021)
  • Justin Peter Gorham

    IRN JPG01158

    • CF30 Customer (3 Oct 2017 to 25 Oct 2018)
  • Paul Spires

    IRN PXS00180

    • 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
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • SMF16 Compliance Oversight (9 Dec 2019 to 29 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Apr 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (6 May 2003 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 May 2003 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 May 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (6 May 2003 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (6 May 2003 to 31 Oct 2007)
    • CF3 Chief Executive (6 May 2003 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (6 May 2003 to 31 Mar 2009)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.