CHARTWELL FINANCIAL SERVICES LIMITED

• Principal Place of Business

  Chapelhouse Barn

  Pillmoss Lane

  Lower Whitley

  Warrington

  Cheshire West And Chester

  WA4 4DW

  UNITED KINGDOM

  Phone

  +441619293500

  Web

  https://www.chartwellfs.com

• Complaints Contact

  Chapelhouse Barn

  Pillmoss Lane

  Lower Whitley

  Warrington

  Cheshire West And Chester

  WA4 4DW

  UNITED KINGDOM

  Phone

  +441619293500

• 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

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  • · 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.

• Investment Advice (no pensions)

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

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  • · 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

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  • · 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), 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

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  • · 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.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Investment Setup

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

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  • · 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.

• Ann-Marie Atkins

  IRN AXB02194

  • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
  • CF22 Investment Adviser (Trainee) (12 Feb 2007 to 31 Oct 2007)
• Arif Jamal

  IRN AXJ00519

  • 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)
  • [FCA CF] Client dealing (since 1 Aug 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Aug 2024)
• Barbara Caroline Eaton

  IRN BCE00001

  • CF21 Investment Adviser (20 May 2004 to 24 Mar 2006)
• Christine Margaret Law

  IRN CML00008

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (21 Jan 2005 to 31 Oct 2007)
• Christopher John Eaton

  IRN CJE00019

  • CF1 Director (AR) (7 Jun 2013 to 4 Apr 2014)
  • CF30 Customer (25 Jan 2013 to 4 Apr 2014)
• Christopher McGonnell

  IRN CXM01229

  • CF22 Investment Adviser (Trainee) (24 Nov 2006 to 7 Feb 2007)
• David John Henry Fitches

  IRN DJF00062

  • CF30 Customer (11 Nov 2013 to 2 May 2018)
• Donald Edward Quayle

  IRN DEQ00001

  • CF1 Director (1 Dec 2001 to 8 Jul 2002)
• Gary Robert Newton

  IRN GRN00001

  • 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
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10 Compliance Oversight (17 May 2016 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (AR) (15 Nov 2006 to 30 Nov 2018)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (13 Feb 2002 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (13 Feb 2002 to 31 Mar 2009)
  • CF21 Investment Adviser (13 Feb 2002 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (13 Feb 2002 to 8 Dec 2019)
  • CF1 Director (13 Feb 2002 to 8 Dec 2019)
  • CF3 Chief Executive (13 Feb 2002 to 8 Dec 2019)
• Gary Stuart Crossley

  IRN GSC00027

  • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
  • CF21 Investment Adviser (25 Sep 2006 to 31 Oct 2007)

• Bridgett Williams Limited (no longer appointed)

  FRN 526945 · Appointed 1 Jul 2010 · Until 4 May 2016

• Chartwell Financial Management Ltd (no longer appointed)

  FRN 470114 · Appointed 10 Jul 2007 · Until 2 Jan 2008

• Bollington Financial Planning Ltd (no longer appointed)

  FRN 424482 · Appointed 17 Oct 2006 · Until 30 Nov 2018

No changes recorded yet.