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

  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.

• Mark Giddens

  IRN MXG02669

  • [FCA CF] Significant management (9 Dec 2019 to 25 Feb 2020)
  • SMF3 Executive Director (9 Dec 2019 to 25 Feb 2020)
  • CF1 Director (9 Feb 2018 to 8 Dec 2019)
• Micheal Anthony Carney

  IRN MAC01272

  • CF1 Director (19 Jun 2006 to 3 Dec 2015)
• Neela Chauhan

  IRN NXC25708

  • SMF3 Executive Director (since 15 Feb 2020)
  • [FCA CF] Significant management (since 9 Dec 2019)
• Peter Jonathan Miller

  IRN PJM00051

  • CF30 Customer (10 Jun 2014 to 8 Dec 2019)
• Philip Oliver

  IRN PXO01136

  • CF1 Director (19 Jun 2006 to 19 Jun 2018)
• Samantha Marshall

  IRN SXM02314

  • CF30 Customer (3 Apr 2008 to 20 Nov 2008)
• Simon Jonathan Browning

  IRN SJB01651

  • SMF16 Compliance Oversight (9 Dec 2019 to 25 Feb 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 25 Feb 2020)
  • SMF3 Executive Director (9 Dec 2019 to 25 Feb 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 25 Feb 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 25 Feb 2020)
  • Responsible for Insurance Mediation (26 Nov 2015 to 30 Sep 2018)
  • CF10 Compliance Oversight (5 Oct 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (5 Oct 2015 to 8 Dec 2019)
  • CF1 Director (22 Aug 2014 to 8 Dec 2019)
• Subarna Banerjee

  IRN SXB25742

  • SMF3 Executive Director (since 25 Feb 2020)
  • Responsible for Insurance Distribution (since 25 Feb 2020)
  • SMF16 Compliance Oversight (since 25 Feb 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Feb 2020)
  • [FCA CF] Significant management (since 9 Dec 2019)

No changes recorded yet.