YELLOWTAIL FINANCIAL PLANNING LIMITED

• Principal Place of Business

  Yellowtail Financial Planning Ltd

  11-15 Dix's Field

  Exeter

  Devon

  EX1 1QA

  UNITED KINGDOM

  Phone

  +4401392715190

  Web

  https://www.yellowtail.co.uk

• Complaints Contact

  Yellowtail Financial Planning Ltd

  11-15 Dix's Field

  Exeter

  Devon

  EX1 1QA

  UNITED KINGDOM

  Phone

  +4401392715190

• P2P Lending Advice

  For Commercial, Professional, 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

  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.

• 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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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.

• Basic Pension Advice

  For Retail (Investment), Stakeholder products

• Andrew Shears

  IRN AXS00617

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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)
  • 9A. Advising on P2P agreements
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 24 Feb 2025)
• Anne Hopkins

  IRN AXH01846

  • CF30 Customer (17 Feb 2016 to 9 May 2016)
• Christian Qvist Olesen

  IRN CXO16270

  • 11. Pension transfer specialist
  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (19 Jun 2019 to 8 Dec 2019)
• Dennis Guy Hall

  IRN DGH00035

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
  • 11. Pension transfer specialist
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 Apr 2006 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (3 Apr 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (3 Apr 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (3 Apr 2006 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Apr 2006 to 8 Dec 2019)
  • CF1 Director (3 Apr 2006 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (3 Apr 2006 to 31 Mar 2009)
• Frederick Osbourn

  IRN FXO00021

  • [FCA CF] Manager of certification employee (1 Sep 2021 to 1 Feb 2022)
  • [FCA CF] Functions requiring qualifications (1 Sep 2021 to 1 Feb 2022)
  • [FCA CF] Client dealing (1 Sep 2021 to 1 Feb 2022)
• Mushtaq Ahmed Jaigirdar

  IRN MAJ00043

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Dec 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Dec 2023)
  • CF30 Customer (10 Jul 2008 to 8 Dec 2019)
• Robert Keith Clayton

  IRN RKC00003

  • CF30 Customer (29 Jan 2016 to 21 Apr 2017)
• Sarah Steele

  IRN SXS01894

  • SMF3 Executive Director (since 30 Aug 2023)
• Stacey Louise Coombs

  IRN SLG01043

  • CF30 Customer (10 Jul 2008 to 29 Jan 2010)
• Zerksis Hoshang Ghadially

  IRN ZXG01027

  • CF30 Customer (1 Aug 2010 to 29 Oct 2012)

No changes recorded yet.