Barwells Independent Financial Management Limited

• Principal Place of Business

  1 Station Farm Barns

  Station Road

  Glynde

  Lewes

  East Sussex

  BN8 6EU

  UNITED KINGDOM

  Phone

  +4401273086311

  Web

  https://www.barwells-wealth.co.uk

• Complaints Contact

  1 Station Farm Barns

  Station Road

  Glynde

  Lewes

  East Sussex

  BN8 6EU

  UNITED KINGDOM

  Phone

  +4401273086311

• 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 2 limitations Hide limitations

  • · 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 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

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

• Equity Release Arranging

  For Customer, Home reversion plans

• 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 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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 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.

• Andrew Sean Woods

  IRN ASW01066

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 18 Oct 2024)
  • CF11 Money Laundering Reporting (5 Jun 2013 to 8 Dec 2019)
  • CF1 Director (5 Jun 2013 to 8 Dec 2019)
• David Trevor Johnson George

  IRN DTG01013

  • CF1 Director (5 Jun 2013 to 20 Jun 2016)
• Jonathan Nisbet

  IRN JXN00388

  • [FCA CF] Functions requiring qualifications (13 Aug 2025 to 10 Apr 2026)
  • [FCA CF] Client dealing (13 Aug 2025 to 10 Apr 2026)
• Lee Roger Waters

  IRN LXW01257

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 18 Oct 2024)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 28 Oct 2016)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 18 Oct 2024)
  • Responsible for Insurance Mediation (7 Aug 2014 to 30 Sep 2018)
  • CF3 Chief Executive (4 Jul 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 Jul 2014 to 8 Dec 2019)
  • CF1 Director (4 Jul 2014 to 8 Dec 2019)
  • CF30 Customer (5 Jun 2013 to 8 Dec 2019)
• Roger Charles Waters

  IRN RCW01056

  • [FCA CF] Client dealing (18 Oct 2024 to 1 Oct 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Oct 2025)
  • CF1 Director (5 Jun 2013 to 11 Mar 2015)
  • CF10 Compliance Oversight (5 Jun 2013 to 27 Jun 2014)
  • CF3 Chief Executive (5 Jun 2013 to 27 Jun 2014)
  • CF30 Customer (5 Jun 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (5 Jun 2013 to 24 Jul 2014)
• Stuart Macey Barrett

  IRN SMB01131

  • CF30 Customer (5 Jun 2013 to 12 Nov 2015)
• Timothy Joseph Morgan

  IRN TJM01107

  • CF1 Director (5 Jun 2013 to 20 Jun 2016)
• William James Elliot

  IRN WJE01017

  • CF1 Director (5 Jun 2013 to 20 Jun 2016)

No changes recorded yet.