Tom French & Associates Limited

• Principal Place of Business

  Tom French & Associates Ltd

  Prudence House

  Ashleigh Way

  Langage Business Park

  Plymouth

  Devon

  PL7 5JX

  UNITED KINGDOM

  Phone

  +4401752347070

  Web

  https://www.tfagroup.co.uk

• Complaints Contact

  Tom French & Associates Ltd

  Prudence House

  Ashleigh Way

  Langage Business Park

  Plymouth

  Devon

  PL7 5JX

  UNITED KINGDOM

  Phone

  +4401752347070

• 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 Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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 Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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, 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 Hide limitations

  • · 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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 Hide limitations

  • · 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 Hide limitations

  • · 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”.

• Consumer Hire

• Consumer Hire Servicing

• Equity Release Setup

  For Customer, Home reversion plans

• 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, 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 Hide limitations

  • · 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.

• Basic Pension Advice

  For Eligible Counterparty, Professional, Retail (Investment), Stakeholder products

  Show 1 limitation Hide limitations

  • · Subject to this activity being limited to a non-mainstream regulated activity

• Martin Alan Josey

  IRN MAJ00037

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (21 Sep 2002 to 31 Oct 2007)
• Martin Harvey

  IRN MXH00357

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Aug 2020)
• Maurice Dudley Scant

  IRN MDS00017

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (4 Mar 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (11 Jun 2004 to 31 Oct 2007)
• Michael Augustine Finn

  IRN MAF00045

  • CF21 Investment Adviser (1 Dec 2001 to 12 Nov 2002)
• Michael Edward Stringer

  IRN MES00020

  • CF30 Customer (1 Nov 2007 to 20 Dec 2008)
  • CF21 Investment Adviser (21 May 2004 to 31 Oct 2007)
• Michael John Considine

  IRN MJC00017

  • CF30 Customer (15 Feb 2012 to 21 Dec 2012)
• Michael Leslie Squire

  IRN MLS00004

  • CF1 Director (13 Feb 2013 to 28 Feb 2018)
  • CF30 Customer (1 Nov 2007 to 28 Feb 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Michael William Westwood

  IRN MWW00004

  • CF30 Customer (1 Nov 2007 to 20 Dec 2008)
  • CF21 Investment Adviser (5 Mar 2004 to 31 Oct 2007)
• Mitchell John Blakeway

  IRN MJB01553

  • CF22 Investment Adviser (Trainee) (27 Jun 2005 to 25 Dec 2005)
• Nicholas Heathcote

  IRN NXH00390

  • [FCA CF] Client dealing (29 Aug 2023 to 20 Aug 2024)
  • [FCA CF] Functions requiring qualifications (29 Aug 2023 to 20 Aug 2024)

• Higman Associates (no longer appointed)

  FRN 494122 · Appointed 5 Jan 2009 · Until 31 Dec 2012

• Clover Financial Planning Ltd (no longer appointed)

  FRN 477600 · Appointed 15 Jan 2008 · Until 30 Dec 2011

• Key Mortgage Services Ltd (no longer appointed)

  FRN 470466 · Appointed 17 Jul 2007 · Until 28 Nov 2008

• Morley Davis (no longer appointed)

  FRN 431736 · Appointed 26 Apr 2005 · Until 11 Jan 2008

• Atlantic Associates (no longer appointed)

  FRN 227645 · Appointed 13 Aug 2003 · Until 24 Dec 2008

• Financial Advice Centre (Southwest) Ltd (no longer appointed)

  FRN 224032 · Appointed 2 Apr 2003 · Until 1 May 2012

• Watson French (no longer appointed)

  FRN 191449 · Appointed 27 Mar 2000 · Until 14 Nov 2002

• T.F. Direct Ltd (no longer appointed)

  FRN 191341 · Appointed 1 Mar 2000 · Until 20 Jun 2007

No changes recorded yet.