AW FINANCIAL MANAGEMENT LLP

Date authorised
1 April 2013
Companies House
OC355433
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Old Exchange
    3 London Road
    Farningham
    Kent
    DA4 0JP
    UNITED KINGDOM
    Phone
    +4401322669059
    Web
    https://www.awfm.co.uk

  • Complaints Contact

    The Old Exchange
    3 London Road
    Farningham
    Kent
    DA4 0JP
    UNITED KINGDOM
    Phone
    +4401322669059

What this firm is allowed to do

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

  • P2P Lending Advice

    For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Eligible Counterparty, 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 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, 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, 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, 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, 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.

  • 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, 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.

  • Gary Lambert Wilson

    IRN GLW00008

    • CF4 Partner (1 Dec 2010 to 30 Nov 2012)
    • CF30 Customer (1 Dec 2010 to 30 Nov 2012)
  • Jonathan Mark Horden French

    IRN JMF01169

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • SMF27 Partner (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)
    • Responsible for Insurance Mediation (14 Mar 2018 to 30 Sep 2018)
    • CF4 Partner (14 Mar 2018 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
  • Martin Andrews

    IRN MXA00008

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (21 Oct 2016 to 20 Nov 2020)
    • CF30 Customer (1 Dec 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2010 to 8 Dec 2019)
    • CF4 Partner (1 Dec 2010 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Dec 2010 to 30 Sep 2018)
  • Sean Anthony Knights

    IRN SAK01044

    • [FCA CF] Client dealing (9 Dec 2019 to 4 Apr 2025)
    • SMF27 Partner (9 Dec 2019 to 4 Apr 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 4 Apr 2025)
    • CF4 Partner (14 Mar 2018 to 8 Dec 2019)
    • CF30 Customer (15 Mar 2017 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.