VINCENT COLLEY INVESTMENT ADVISORS LTD

• Principal Place of Business

  91 Stockport Road

  Marple

  Stockport

  Cheshire

  SK6 6AA

  UNITED KINGDOM

  Phone

  +441614499166

  Web

  https://www.principle-im.com

• Complaints Contact

  91 Stockport Road

  Marple

  Stockport

  Cheshire

  SK6 6AA

  UNITED KINGDOM

  Phone

  +441614499166

• 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

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · 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”.

• 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 (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.

• Credit Score Services

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  • · This permission is limited to not carrying out credit repair services

• Alexander Charles Vincent

  IRN ACV01027

  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Feb 2023)
  • SMF16 Compliance Oversight (since 15 Feb 2023)
  • Responsibility for MCD Intermediation (since 15 Feb 2023)
  • Responsible for Insurance Distribution (since 15 Feb 2023)
  • SMF3 Executive Director (since 15 Feb 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (12 Aug 2011 to 8 Dec 2019)
• Charles Gordon Vincent

  IRN CGV00001

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Aug 2023)
  • SMF3 Executive Director (9 Dec 2019 to 20 Feb 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Nov 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 22 Aug 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 22 Aug 2023)
  • Responsible for Insurance Mediation (25 Jan 2010 to 30 Sep 2018)
  • CF10 Compliance Oversight (25 Jan 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (25 Jan 2010 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)
  • CF1 Director (1 Apr 2005 to 8 Dec 2019)
• Craig Nigel Alexander

  IRN CXA00445

  • 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 30 Sep 2025)
  • [FCA CF] Client dealing (since 30 Sep 2025)
• Joanna Wilson

  IRN JXW02556

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2025)
  • CF30 Customer (13 Jul 2016 to 8 Dec 2019)
• Joel William Birkhead

  IRN JXB00249

  • 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
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 31 Jul 2020)
  • [FCA CF] Functions requiring qualifications (since 31 Jul 2020)
• John Matthew Dunne

  IRN JMD01255

  • CF30 Customer (2 Oct 2019 to 8 Dec 2019)
• Leon Colley

  IRN LXC00078

  • CF30 Customer (1 Nov 2007 to 15 Sep 2009)
  • CF1 Director (1 Apr 2005 to 15 Sep 2009)
  • CF10 Compliance Oversight (1 Apr 2005 to 15 Sep 2009)
  • CF11 Money Laundering Reporting (1 Apr 2005 to 15 Sep 2009)
  • CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Apr 2005 to 31 Mar 2009)
  • Responsible for Insurance Mediation (1 Apr 2005 to 15 Sep 2009)
• Paul Billingsley

  IRN PXB01676

  • CF30 Customer (7 Dec 2012 to 16 Jul 2015)

No changes recorded yet.