CBW Financial Planning Limited

Date authorised
1 April 2013
Companies House
03224548
Last scraped
21 hours ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Ground Floor Left
    6 Lloyds Avenue
    London
    EC3N 3AX
    UNITED KINGDOM
    Phone
    +4402045817090
    Web
    https://www.cbwfinancialplanning.co.uk

  • Complaints Contact

    Ground Floor Left
    6 Lloyds Avenue
    London
    EC3N 3AX
    UNITED KINGDOM
    Phone
    +4402045817090

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), Professional, Unit, Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Personal pension scheme

    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 Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Structured Deposits, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Personal pension scheme

    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 Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Structured Deposits, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Personal pension scheme

    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 Retail (Non-Investment Insurance), Commercial, Retail (Investment), Professional, Structured Deposits, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Life Policy, Stakeholder pension scheme, Rights to or interests in investments (Security), Rights to or interests in investments (Contractually Based Investments), Non-investment insurance contracts, Personal pension scheme

    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.

  • Antony Maurice Lesser

    IRN AML00011

    • (27)[FCA CF] Client dealing (19 Dec 2019 to 6 May 2022)
    • (29)[FCA CF] Functions requiring qualifications (19 Dec 2019 to 6 May 2022)
    • (18)SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 21 Jul 2020)
    • (19)SMF16 Compliance Oversight (9 Dec 2019 to 21 Jul 2020)
    • (20)SMF3 Executive Director (9 Dec 2019 to 6 May 2022)
    • (16)Responsible for Insurance Distribution (1 Oct 2018 to 21 Jul 2020)
    • (21)CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • (17)Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • (23)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • (22)CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • (26)CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • (28)CF1 Director (1 Dec 2001 to 8 Dec 2019)
    • (24)CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • (25)CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • Charlotte Elgar

    IRN CXE00088

    • (35)[FCA CF] Functions requiring qualifications (21 Aug 2020 to 3 Nov 2023)
    • (34)[FCA CF] Client dealing (21 Aug 2020 to 3 Nov 2023)
  • Christopher John Clayton

    IRN CJC00026

    • (5)7. Giving personal recommendations on long-term care insurance contracts
    • (7)4. Giving personal recommendations on retail investment products which are not broker funds
    • (6)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (9)[FCA CF] Client dealing (since 19 Dec 2019)
    • (10)[FCA CF] Functions requiring qualifications (since 19 Dec 2019)
    • (8)SMF3 Executive Director (since 9 Dec 2019)
    • (40)CF1 Director (20 Jun 2017 to 8 Dec 2019)
    • (39)CF30 Customer (17 Nov 2016 to 8 Dec 2019)
  • David Anthony Hollinrake

    IRN DAH00012

    • (8)CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2002)
  • David Melvyn Goldring

    IRN DMG00031

    • (1)CF30 Customer (1 Nov 2007 to 30 Jun 2010)
    • (2)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • David Philip Kramer

    IRN DPK00005

    • (5)CF1 Director (1 Dec 2001 to 14 Nov 2017)
  • Dennis Guy Hall

    IRN DGH00035

    • (42)CF21 Investment Adviser (21 May 2003 to 31 Mar 2006)
    • (41)CF24 Pension Transfer Specialist (24 Apr 2003 to 31 Mar 2006)
  • Emma Sands

    IRN EXS00111

    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (3)[FCA CF] Client dealing (since 28 Aug 2020)
    • (4)[FCA CF] Functions requiring qualifications (since 28 Aug 2020)
  • Graham Foster

    IRN GXF00061

    • (38)CF1 Director (20 May 2013 to 6 Dec 2019)
    • (37)CF30 Customer (9 Jul 2012 to 6 Dec 2019)
  • Harry Anthony Lipman

    IRN HAL00009

    • (4)CF1 Director (1 Dec 2001 to 31 Mar 2010)
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Recent activity

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

  1. controlled function added: (6)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  2. controlled function added: (5)7. Giving personal recommendations on long-term care insurance contracts

  3. controlled function added: (4)[FCA CF] Functions requiring qualifications

  4. controlled function added: (3)[FCA CF] Client dealing

  5. controlled function added: (2)4. Giving personal recommendations on retail investment products which are not broker funds

  6. controlled function added: (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  7. controlled function added: (43)CF1 Director

  8. controlled function added: (42)CF21 Investment Adviser

  9. controlled function added: (41)CF24 Pension Transfer Specialist

  10. controlled function added: (40)CF1 Director

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