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.

  • Liam Craig Thomas

    IRN LXT00091

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Client dealing (since 1 Jan 2022)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2022)
  • Lisa Anne Yvonne Thomas

    IRN LAT00021

    • CF30 Customer (1 Nov 2007 to 28 Mar 2008)
    • CF22 Investment Adviser (Trainee) (15 Nov 2006 to 31 Oct 2007)
  • Lynne Marie Williams

    IRN LMW01069

    • 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
    • [FCA CF] Client dealing (since 22 Jan 2024)
    • [FCA CF] Functions requiring qualifications (since 22 Jan 2024)
  • Madeleine Hilary Goodden

    IRN MHG00011

    • CF21 Investment Adviser (1 Dec 2001 to 29 Aug 2003)
  • Malcolm Dodd

    IRN MXD00016

    • CF30 Customer (1 Nov 2007 to 30 Dec 2011)
    • CF21 Investment Adviser (28 Jul 2006 to 31 Oct 2007)
  • Margaret Harper Panzeri

    IRN MHP01024

    • CF21 Investment Adviser (5 May 2005 to 1 Oct 2006)
  • Mark Howard King

    IRN MHK00005

    • [FCA CF] Client dealing (9 Dec 2019 to 26 Jun 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Jun 2020)
    • CF30 Customer (17 Jan 2013 to 8 Dec 2019)
  • Mark Netley

    IRN MXN00040

    • CF30 Customer (1 Nov 2007 to 15 Feb 2008)
    • CF21 Investment Adviser (25 Jan 2005 to 31 Oct 2007)
  • Mark Savill

    IRN MXS04749

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (20 Sep 2017 to 15 Feb 2018)
  • Mark Williamson

    IRN MXW00129

    • CF21 Investment Adviser (16 Aug 2006 to 20 Apr 2007)
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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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