UHY Financial Planning Limited

• Principal Place of Business

  14 Park Row

  Nottingham

  Nottinghamshire

  NG1 6GR

  UNITED KINGDOM

  Phone

  +4401159590900

• P2P Lending Advice

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

• 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

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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 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

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

• Arranges Investments

  For 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 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.

• Adam Joseph Wing

  IRN AJW01364

  • 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
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (2 Jul 2015 to 8 Dec 2019)
• Angela Johnston

  IRN AXJ00067

  • CF30 Customer (1 Nov 2007 to 28 Mar 2015)
  • CF21 Investment Adviser (19 Jun 2006 to 31 Oct 2007)
• Elizabeth Morena Searby

  IRN EMS01060

  • CF1 Director (14 Mar 2008 to 3 Dec 2015)
• Harpal Singh Matharu

  IRN HSM01039

  • [FCA CF] Functions requiring qualifications (1 Apr 2021 to 13 Jan 2025)
  • [FCA CF] Client dealing (1 Apr 2021 to 13 Jan 2025)
• James Andrew Kelsey

  IRN JAK01114

  • CF1 Director (19 Jun 2006 to 28 Feb 2007)
• James Austen Simmonds

  IRN JAS01400

  • CF1 Director (4 Jul 2007 to 3 Dec 2015)
• Jeffrey John Parr

  IRN JJP01078

  • CF1 Director (14 Mar 2008 to 15 Jul 2011)
• Jonathan Philip Warsop

  IRN JPW00047

  • Responsible for Insurance Mediation (19 Jun 2006 to 11 Nov 2015)
  • CF1 Director (19 Jun 2006 to 3 Dec 2015)
  • CF10 Compliance Oversight (19 Jun 2006 to 26 Oct 2015)
  • CF11 Money Laundering Reporting (19 Jun 2006 to 26 Oct 2015)
  • CF8 Apportionment and Oversight (19 Jun 2006 to 31 Mar 2009)
• Ladislav Hornan

  IRN LXH01158

  • CF1 Director (19 Jun 2006 to 26 Jun 2019)
• Margot Jane Madin

  IRN MJM01486

  • CF1 Director (4 Aug 2011 to 3 Dec 2015)

No changes recorded yet.