Trafford & Houghton Financial Planning Ltd

• Principal Place of Business

  Trafford & Houghton Ltd

  Ribblesdale House

  14 Ribblesdale Place

  Preston

  Lancashire

  PR1 3NA

  UNITED KINGDOM

  Phone

  +4401772825755

  Web

  https://www.traffordandhoughton.com

• Complaints Contact

  Trafford & Houghton Ltd

  Ribblesdale House

  14 Ribblesdale Place

  Preston

  Lancashire

  PR1 3NA

  UNITED KINGDOM

  Phone

  +4401772825755

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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

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  • · 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.

• 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

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  • · 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.

• 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

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  • · 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

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  • · This permission is limited to debt counselling with no debt management activity

• 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 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.

• Anne Elizabeth Pearson

  IRN AEP00018

  • CF30 Customer (1 Jul 2008 to 2 Jan 2014)
• Daniel Carson

  IRN DXC00954

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 11 Dec 2025)
  • [FCA CF] Client dealing (since 11 Dec 2025)
• Ian James Trafford

  IRN IJT00009

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Responsible for Insurance Distribution (since 24 Sep 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Sep 2025)
  • SMF16 Compliance Oversight (since 1 Sep 2025)
  • [FCA CF] Client dealing (since 15 Oct 2020)
  • [FCA CF] Functions requiring qualifications (since 15 Oct 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Jul 2008 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2008 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Jul 2008 to 31 Mar 2009)
• Martin Richard Houghton

  IRN MRH00025

  • [FCA CF] Client dealing (15 Oct 2020 to 27 Mar 2026)
  • [FCA CF] Functions requiring qualifications (15 Oct 2020 to 27 Mar 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Oct 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 2 Oct 2025)
  • SMF3 Executive Director (9 Dec 2019 to 27 Mar 2026)
  • Responsible for Insurance Distribution (1 Oct 2018 to 2 Oct 2025)
  • CF11 Money Laundering Reporting (1 Jul 2008 to 8 Dec 2019)
  • CF1 Director (1 Jul 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jul 2008 to 8 Dec 2019)
  • CF30 Customer (1 Jul 2008 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Jul 2008 to 30 Sep 2018)
• Nadia Nay

  IRN NXN13881

  • CF30 Customer (13 Apr 2019 to 8 Dec 2019)
• Sophie Freeman-Myers

  IRN SXF09734

  • [FCA CF] Functions requiring qualifications (14 Feb 2023 to 14 Jun 2023)
  • [FCA CF] Client dealing (14 Feb 2023 to 14 Jun 2023)
  • CF30 Customer (21 Dec 2018 to 8 Dec 2019)
• William Pinder

  IRN WXP01071

  • 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] Functions requiring qualifications (since 15 Oct 2020)
  • [FCA CF] Client dealing (since 15 Oct 2020)
  • CF30 Customer (29 Apr 2009 to 8 Dec 2019)

No changes recorded yet.