Tom French & Associates Limited

Date authorised
1 April 2013
Companies House
03445703
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

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

Approved individuals

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

  • Paul Simon Baxter

    IRN PSB00021

    • CF30 Customer (1 Nov 2007 to 30 Dec 2011)
    • CF21 Investment Adviser (5 Jul 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Nov 2005 to 5 Jul 2007)
  • Paul Victor Haworth

    IRN PVH00003

    • CF30 Customer (1 Nov 2007 to 24 Dec 2009)
    • CF21 Investment Adviser (4 Mar 2003 to 31 Oct 2007)
  • Peter Dean Lang

    IRN PDL00019

    • CF22 Investment Adviser (Trainee) (14 Nov 2005 to 1 Oct 2006)
  • Peter John Fairclough

    IRN PJF00001

    • CF22 Investment Adviser (Trainee) (29 Nov 2004 to 20 Dec 2004)
  • Peter John Madsen

    IRN PJE01056

    • CF30 Customer (1 Nov 2007 to 15 Dec 2008)
    • CF21 Investment Adviser (17 Jul 2007 to 31 Oct 2007)
    • CF1 Director (AR) (17 Jul 2007 to 15 Dec 2008)
  • Peter John Watts

    IRN PJW01281

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 May 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 27 May 2020)
    • CF30 Customer (19 May 2015 to 8 Dec 2019)
  • Phil Billingham

    IRN PLB00002

    • CF8 Apportionment and Oversight (10 Mar 2008 to 16 Apr 2009)
    • CF11 Money Laundering Reporting (10 Mar 2008 to 16 Apr 2009)
    • CF10 Compliance Oversight (10 Mar 2008 to 16 Apr 2009)
    • CF30 Customer (10 Mar 2008 to 16 Apr 2009)
    • CF1 Director (10 Mar 2008 to 16 Apr 2009)
  • Philip Ellis Owen

    IRN PEO00002

    • CF30 Customer (1 Nov 2007 to 28 Mar 2008)
    • CF24 Pension Transfer Specialist (10 Mar 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (15 Jun 2004 to 31 Oct 2007)
  • Philip James Bevan

    IRN PJB00104

    • 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 (24 Apr 2009 to 8 Dec 2019)
  • Philip Reginald Radford

    IRN PRR00001

    • CF21 Investment Adviser (24 Apr 2003 to 21 Jan 2005)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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