Vision Financial Strategies Ltd

• Principal Place of Business

  Vision Financial Strategies Ltd, 50 Brambles Enterprise Centre

  Waterberry Drive

  Waterlooville

  Hampshire

  PO7 7TH

  UNITED KINGDOM

  Phone

  +4402392233073

  Web

  https://www.visionfs.co.uk

• Complaints Contact

  50 Brambles Enterprise Centre

  Waterberry Drive

  Waterlooville

  Hampshire

  PO7 7TH

  UNITED KINGDOM

  Phone

  +4402392233073

• 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 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

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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.

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts, Structured Deposits

• 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”.

• 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.

• Ian Alan Donald Kelly

  IRN IAK01024

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 25 Feb 2021)
  • [FCA CF] Client dealing (since 25 Feb 2021)
  • CF30 Customer (17 Aug 2017 to 8 Dec 2019)
• Malcolm Stuart Ricks

  IRN MSR00012

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 25 Feb 2021)
  • [FCA CF] Client dealing (since 25 Feb 2021)
  • CF30 Customer (18 Sep 2017 to 8 Dec 2019)
• Paul Stuart Backshall

  IRN PSB00027

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 5 Mar 2021)
  • [FCA CF] Client dealing (since 5 Mar 2021)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsible for Insurance Mediation (16 Jan 2014 to 30 Sep 2018)
  • CF1 Director (16 Jan 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (16 Jan 2014 to 8 Dec 2019)
  • CF30 Customer (16 Jan 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (16 Jan 2014 to 8 Dec 2019)
• Phillip Mason

  IRN PXM02888

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 16 Dec 2021)
  • [FCA CF] Functions requiring qualifications (since 15 Dec 2021)
• Sophie Annabel Backshall

  IRN SAB01301

  • CF1 Director (16 Jan 2014 to 12 Nov 2014)
• Stephen Christopher Archard

  IRN SCA00002

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 10 Jun 2024)
  • [FCA CF] Client dealing (since 10 Jun 2024)
• Tracey Backshall

  IRN TXH12672

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (23 May 2019 to 8 Dec 2019)

No changes recorded yet.