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

• Andrew Owen Douglas

  IRN AOD00002

  • CF30 Customer (1 May 2009 to 31 Oct 2017)
• Andrew Peter Moir

  IRN APM00017

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Oct 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Anna Maria Dorochowicz

  IRN AXD00565

  • [FCA CF] Functions requiring qualifications (7 Mar 2024 to 4 Apr 2025)
• Arthur Kevern Batten

  IRN KXB00085

  • CF30 Customer (18 Jul 2008 to 20 Oct 2009)
• Barrie John White

  IRN BJW00010

  • CF21 Investment Adviser (18 May 2006 to 22 Aug 2007)
• Benjamin James Nurse

  IRN BJN01031

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Manager of certification employee (since 25 Apr 2024)
  • [FCA CF] Significant management (since 7 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 6 Apr 2021)
  • [FCA CF] Client dealing (since 6 Apr 2021)
• Benjamin Lavell

  IRN BXL00060

  • [FCA CF] Functions requiring qualifications (1 Oct 2020 to 13 Oct 2023)
• Bruce Hajee

  IRN BXH01168

  • CF21 Investment Adviser (6 Jun 2002 to 26 Feb 2003)
• Byron Roberts

  IRN BXR00004

  • CF30 Customer (1 Nov 2007 to 28 Mar 2008)
  • CF24 Pension Transfer Specialist (4 Mar 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (6 Jul 2004 to 31 Oct 2007)
• Carol Jean O'Halloran

  IRN CJO00012

  • CF21 Investment Adviser (20 May 2003 to 25 Dec 2005)

• 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.