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.

  • Charlie Iain Karl Torrance

    IRN CXT00569

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 13 Feb 2026)
  • Chelsea Thomson

    IRN CXG00024

    • [FCA CF] Functions requiring qualifications (31 Aug 2023 to 7 Jun 2024)
    • [FCA CF] Manager of certification employee (31 Aug 2023 to 7 Jun 2024)
  • Chloe Athena House

    IRN CXH00251

    • [FCA CF] Functions requiring qualifications (14 Mar 2022 to 17 Nov 2023)
  • Christopher David Robert Galpin

    IRN CDG00015

    • CF22 Investment Adviser (Trainee) (22 Jul 2004 to 12 Jul 2006)
  • Christopher Lee

    IRN CXL01439

    • CF2 Non Executive Director (8 Jun 2011 to 8 Jan 2018)
  • Christopher Nicholls

    IRN CXN00050

    • [FCA CF] Manager of certification employee (18 Oct 2022 to 23 Oct 2023)
    • [FCA CF] Functions requiring qualifications (9 Aug 2021 to 7 Feb 2025)
  • Christopher Roy Holmes

    IRN CRH01093

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Manager of certification employee (since 17 Dec 2024)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Clive Anthony Rose

    IRN CAR01088

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 14 Jul 2023)
    • CF1 Director (1 Jun 2011 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (6 Oct 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (18 Nov 2003 to 6 Oct 2004)
    • CF24 Pension Transfer Specialist (1 Sep 2003 to 31 Oct 2007)
  • Connor John Tull Humble

    IRN CXH00235

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Apr 2023)
  • Conor Kenneth Joseph McGinn

    IRN CXM71020

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Jan 2020)
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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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