SPF Private Clients Limited

Date authorised
1 April 2013
Companies House
03680970
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    S P F Private Clients
    33 Gracechurch Street
    London
    City Of London
    EC3V 0BT
    UNITED KINGDOM
    Phone
    +442073308500
    Web
    https://www.spf.co.uk

  • Complaints Contact

    S P F Private Clients
    33 Gracechurch Street
    London
    City Of London
    EC3V 0BT
    UNITED KINGDOM
    Phone
    +442073308500

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • 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 2 limitations
    • · 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

    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.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

  • 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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Debt Negotiation

    Show 1 limitation
    • · Limited to debt adjusting excluding the conclusion or administration of 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”.

  • Debt Advice

    Show 1 limitation
    • · 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, 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.

  • Credit Score Services

    Show 1 limitation
    • · This permission is limited to not carrying out credit repair services

Approved individuals

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

  • Hugh Murray Charles Coghill

    IRN HMC01037

    • CF1 Director (AR) (14 Jan 2005 to 31 Jan 2006)
  • Ian David Williams

    IRN IDW00005

    • [FCA CF] Manager of certification employee (26 Mar 2020 to 18 Feb 2022)
    • [FCA CF] Functions requiring qualifications (26 Mar 2020 to 18 Mar 2022)
  • Ian Frederick Meadows

    IRN IXM00080

    • [FCA CF] Manager of certification employee (8 Oct 2021 to 18 Feb 2022)
    • [FCA CF] Functions requiring qualifications (7 Oct 2021 to 30 Jan 2026)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
  • Ivo Alan James Prest

    IRN IXP00152

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2024)
  • Jack David Flynn

    IRN JXF00172

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Manager of certification employee (since 1 Dec 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Jack Hemblade

    IRN JXH01079

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2023)
  • Jack Raymond Clarke

    IRN JXC00685

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 12 May 2023)
  • Jake Manns-Benson

    IRN JXM00485

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • James Leslie Rodea

    IRN JLR01072

    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • SMF16 Compliance Oversight (9 Dec 2019 to 13 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Mar 2023)
    • Responsible for Insurance Mediation (14 Jul 2016 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (26 Oct 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (26 Oct 2010 to 8 Dec 2019)
    • CF1 Director (8 May 2008 to 8 Dec 2019)
  • James Toby Page

    IRN JTP01042

    • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 1 Aug 2022)
    • CF2 Non Executive Director (8 Feb 2018 to 8 Dec 2019)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

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