Charlwood IFA Limited

• Principal Place of Business

  Charlwood Independent Financial Advisors

  35 Seamoor Road

  Bournemouth

  BH4 9AE

  UNITED KINGDOM

  Phone

  +4401202768512

  Web

  https://www.charlwoodifa.com

• Complaints Contact

  Charlwood Independent Financial Advisors

  35 Seamoor Road

  Bournemouth

  BH4 9AE

  UNITED KINGDOM

  Phone

  +441202768512

• 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

  • · 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.
  • · 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 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Commercial, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, 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

  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.

• 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, 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.

• Manages Your Portfolio

  For Retail (Investment), Certificates representing certain security, Government and public security, Life Policy, 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

  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.

• Darryl Charlwood

  IRN DXC00125

  • CF21 Investment Adviser (1 Sep 2003 to 21 Nov 2003)
• David Martyn Warren

  IRN DMW01206

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Jun 2022)
  • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
• David Roger Clark

  IRN DRC00018

  • CF21 Investment Adviser (1 Sep 2003 to 22 May 2005)
• Jane Langdon

  IRN JXL01477

  • CF22 Investment Adviser (Trainee) (10 May 2004 to 11 Mar 2005)
• Joanne Maria Charlwood

  IRN JMC00022

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF21 Investment Adviser (1 Sep 2003 to 31 Aug 2004)
  • CF1 Director (1 Sep 2003 to 8 Dec 2019)
• John James Marlborough

  IRN JJM01258

  • [FCA CF] Functions requiring qualifications (17 Apr 2023 to 27 Jun 2023)
  • [FCA CF] Client dealing (17 Apr 2023 to 27 Jun 2023)
• Jonathan Paul Tuck

  IRN JPT00022

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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)
  • 9A. Advising on P2P agreements
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Client dealing (since 1 Sep 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2020)
  • SMF3 Executive Director (9 Dec 2019 to 2 Jun 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Feb 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 22 Feb 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 22 Feb 2022)
  • CF30 Customer (26 Sep 2014 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (1 Sep 2003 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (1 Sep 2003 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Sep 2003 to 8 Dec 2019)
  • CF1 Director (1 Sep 2003 to 8 Dec 2019)
• Mark Robert Rawlings

  IRN MRR01054

  • CF21 Investment Adviser (1 Sep 2003 to 31 Aug 2004)
• Martyn Charlwood

  IRN MXC00038

  • 9A. Advising on P2P agreements
  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Feb 2022)
  • Responsible for Insurance Distribution (since 18 Feb 2022)
  • SMF16 Compliance Oversight (since 18 Feb 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Sep 2003 to 31 Oct 2007)
  • CF1 Director (1 Sep 2003 to 8 Dec 2019)
• Michelle Lee Sanders

  IRN MLS01063

  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (4 Jul 2012 to 8 Dec 2019)

No changes recorded yet.