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.

  • Scott Davis

    IRN SED00006

    • CF21 Investment Adviser (21 Oct 2003 to 31 Dec 2003)
    • CF22 Investment Adviser (Trainee) (12 May 2003 to 21 Oct 2003)
  • Scott McHugh

    IRN SXM00466

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Nov 2024)
  • Sean Russell Charlton

    IRN SXC03197

    • [FCA CF] Significant management (since 19 Feb 2026)
  • Simon David Freegard

    IRN SDF00002

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF22 Investment Adviser (Trainee) (23 Dec 2002 to 31 Dec 2003)
  • Simon David Gammon

    IRN SDG00013

    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
  • Simon Graham Ward

    IRN SGW00008

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • Simon James Blouet Shaw

    IRN SJS01355

    • CF2 Non Executive Director (2 Nov 2009 to 19 May 2011)
  • Simon Magnus Dexter

    IRN SMD00001

    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 18 Oct 2022)
  • Simon Paul Jeffery

    IRN SPJ00012

    • CF21 Investment Adviser (4 Feb 2002 to 1 Mar 2005)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 4 Feb 2002)
  • Simon Roger Dice

    IRN SRD00008

    • CF1 Director (1 Dec 2001 to 10 Dec 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
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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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