APPLEWOOD INDEPENDENT LTD

Date authorised
7 October 2013
Companies House
03565805
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Applewood Independent Ltd
    Pepper House
    Market Street
    Nantwich
    Cheshire East
    CW5 5DQ
    UNITED KINGDOM
    Phone
    +4401270626555
    Web
    https://www.afhwm.co.uk/nantwich

  • Complaints Contact

    Applewood Independent Ltd
    Pepper House
    Market Street
    Nantwich
    Cheshire East
    CW5 5DQ
    UNITED KINGDOM
    Phone
    +4401270626555

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Pension Transfer Advice

    For 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 2 limitations
    • · 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, 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
    • · 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
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, 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
    • · 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

    Show 1 limitation
    • · 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, 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alexander David Pritchard

    IRN ADP01139

    • 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
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (20 Jan 2016 to 8 Dec 2019)
    • CF30 Customer (1 Dec 2015 to 8 Dec 2019)
  • David Pritchard

    IRN DXP00038

    • 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
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (7 Oct 2013 to 8 Dec 2019)
    • CF1 Director (7 Oct 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (7 Oct 2013 to 8 Dec 2019)
    • CF30 Customer (7 Oct 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (7 Oct 2013 to 30 Sep 2018)
  • Jason Lee Gregory

    IRN JLG00004

    • CF30 Customer (6 Jul 2015 to 3 May 2016)
  • Kay Pritchard

    IRN KXP01455

    • SMF3 Executive Director (9 Dec 2019 to 2 Jan 2026)
    • CF1 Director (7 Oct 2013 to 8 Dec 2019)
  • Mark Gregory

    IRN MXG02157

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 4 Aug 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 4 Aug 2023)
    • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
  • Michael Bedson

    IRN MXB01188

    • 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 8 Aug 2023)
    • [FCA CF] Client dealing (since 8 Aug 2023)
  • Rebecca Wolstenholme

    IRN RXW00346

    • SMF3 Executive Director (since 25 Feb 2022)
  • Robert Michael Stone

    IRN RMS01182

    • CF30 Customer (7 Oct 2013 to 26 Jun 2015)
  • Samantha Victoria Wheatcroft-Hayes

    IRN SVW01019

    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (15 Oct 2016 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.