CBW Financial Planning Limited

Date authorised
1 April 2013
Companies House
03224548
Last scraped
21 hours ago
Watch for changes

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.

  • Ian Andrew Wells

    IRN IAW00011

    • (10)[FCA CF] Functions requiring qualifications (11 Jan 2021 to 7 Jun 2024)
    • (9)[FCA CF] Client dealing (11 Jan 2021 to 7 Jun 2024)
  • Jade Kimberley North

    IRN JKL01037

    • (11)[FCA CF] Client dealing (2 Oct 2020 to 27 Jan 2025)
    • (12)[FCA CF] Functions requiring qualifications (2 Oct 2020 to 27 Jan 2025)
  • Jason Demitrie Toumba

    IRN JDT01111

    • (15)[FCA CF] Functions requiring qualifications (19 Dec 2019 to 25 Jul 2024)
    • (14)[FCA CF] Client dealing (19 Dec 2019 to 25 Jul 2024)
    • (13)CF30 Customer (1 Aug 2016 to 8 Dec 2019)
  • John Alfred George Alexander

    IRN JAA01160

    • (7)CF1 Director (29 Sep 2008 to 12 Nov 2010)
  • Joseph Michael Hawes

    IRN JMH01339

    • (33)CF30 Customer (1 Apr 2011 to 8 Dec 2019)
  • Melvyn Julian Carter

    IRN MJC00021

    • (6)CF1 Director (1 Dec 2001 to 27 Mar 2012)
  • Mervyn Yamey

    IRN MXY00010

    • (3)CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2004)
  • Paul Gibson

    IRN PXG00006

    • (36)CF30 Customer (18 Feb 2008 to 2 Mar 2012)
  • Peter Stephen Winter

    IRN PSW00008

    • (14)SMF3 Executive Director (since 9 Dec 2019)
    • (43)CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Philip Sean David Harrison

    IRN PSH01092

    • (31)[FCA CF] Client dealing (5 Aug 2020 to 30 Nov 2021)
    • (32)[FCA CF] Functions requiring qualifications (5 Aug 2020 to 30 Nov 2021)
    • (30)CF30 Customer (27 Mar 2018 to 8 Dec 2019)
Show more

Recent activity

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

  1. trading name added: CBW Financial Services Ltd

  2. permission removed: Debt-counselling

  3. controlled function added: (14)SMF3 Executive Director

  4. controlled function added: (13)SMF16 Compliance Oversight

  5. controlled function added: (12)SMF17 Money Laundering Reporting Officer (MLRO)

  6. controlled function added: (11)Responsible for Insurance Distribution

  7. controlled function added: (10)[FCA CF] Functions requiring qualifications

  8. controlled function added: (9)[FCA CF] Client dealing

  9. controlled function added: (8)SMF3 Executive Director

  10. controlled function added: (7)4. Giving personal recommendations on retail investment products which are not broker funds

Show more