Prospectus Financial Management Limited

Reference number: 767690

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Authorised by the FCA

This firm is on the FCA register and authorised to carry out regulated activities.

Identity

Check their details

Compare these against whatever you were given. Scammers clone real firm names and reference numbers but use their own phone number and website, so a detail that does not match the register is the clearest warning sign there is.

Company details

From the company's Companies House record.

Company number
07872777
Company status
Active
Company type
Private limited company
Incorporated
6 December 2011 (14 years old)
Registered office
1st Floor Offices, 12 Redhouse Square Duncan Close, Moulton Park Industrial Estate, Northampton, NN3 6WL
Nature of business
  • Life insurance (SIC 65110)
  • Pension funding (SIC 65300)

Current directors and secretaries

Name Role Born Appointed
Ronald Eley Director Aug 1958 6 Dec 2011

Check on the FCA register → Report a scam →

Activities and protection

What they can do, and how you are protected

  • Give regulated advice FSCS may apply
    A claim for unsuitable advice is itself FSCS-protected, up to the limit that applies to the product you were advised on.
  • Manage or trade investments FSCS may apply
    Eligible investment and pension claims are typically FSCS-protected up to £85,000 per person, depending on the product and your circumstances.
  • Advise on or arrange mortgages FSCS may apply
    Mortgage advice and arranging may be FSCS-covered, up to the limit that applies.
  • Lend or arrange credit No FSCS cover
    Consumer credit is not covered by the FSCS, so there is no compensation scheme if the firm fails.

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Show FCA detail (12 permissions)
  • Acting as a CBTL advisor
  • Acting as a CBTL arranger
  • Advising on investments (except on Pension Transfers and Pension Opt Outs)
  • Advising on P2P agreements
  • Advising on Pension Transfers and Pension Opt Outs
  • Advising on regulated mortgage contracts
  • Arranging (bringing about) deals in investments
  • Arranging (bringing about) regulated mortgage contracts
  • Credit Broking
  • Debt-counselling
  • Making arrangements with a view to regulated mortgage contracts
  • Making arrangements with a view to transactions in investments

Limits on what they may do

  • Responsibility for Past Business Liability of Prospectus Financial
    Responsibility for Past Business Liability of Prospectus Financial 1. The Firm must not enter into any agreement for the sale, transfer or other disposal of its client book without first notifying the Authority. 2. The Firm must not enter into any agreement for the sale, transfer or other disposal of its existing client agreements without first notifying the Authority. 3. The Firm must not enter into an agreement for the sale, transfer, disposal or other dealing of its existing agreements that does not specify who will be responsible for the investigation, processing and payment of redress for complaints related to the past business of the Firm. Effective date 4. The requirements in this application are to take effect immediately upon the Firm signing the VREQ and upon their acceptance by the Authority, as notified to the Firm via email. 5. These restrictions will remain in effect until Prospectus Financial applies to have them removed, having demonstrated to the Authority's Satisfaction that it is continuing to satisfy Threshold Conditions in relation to all the regulated activities for which it has Part 4A permission.

Complaints: You can refer a complaint about this firm to the Financial Ombudsman Service for free, whichever activity it relates to.

Track record

FCA actions and complaints

No FCA disciplinary action, and no complaints recorded with the Ombudsman.

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Common questions

Frequently asked questions

Is Prospectus Financial Management Limited FCA authorised?
Yes, Prospectus Financial Management Limited (FRN 767690) is authorised by the FCA to carry out regulated activities.
Is my money safe with Prospectus Financial Management?
It depends on the product, but eligible claims may be protected by the FSCS. You can also refer complaints about Prospectus Financial Management to the Financial Ombudsman Service, free of charge.
Is Prospectus Financial Management a scam or clone?
Prospectus Financial Management is a genuine FCA-listed firm. However, scammers sometimes clone authorised firms. Always check that the contact details you were given match those on the FCA register before sending money or sharing information.
What is Prospectus Financial Management's Firm Reference Number (FRN)?
Prospectus Financial Management's FRN is 767690. You can verify it on the FCA register.