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.

• Michael Christopher Henshall

  IRN MCH01086

  • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
  • CF21 Investment Adviser (14 Nov 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Aug 2006 to 31 Oct 2007)
• Michael Ian Holden

  IRN MIH00001

  • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
  • CF21 Investment Adviser (13 Feb 2002 to 31 Oct 2007)
  • CF1 Director (13 Feb 2002 to 31 Dec 2007)
• Paul Christopher Moors

  IRN PCM01067

  • CF1 Director (AR) (21 Jun 2013 to 30 Nov 2018)
• Pauline Julie Quayle

  IRN PJQ01010

  • CF1 Director (1 Dec 2001 to 15 Jul 2002)
• Richard Steven Clarke

  IRN RSC00010

  • SMF3 Executive Director (9 Dec 2019 to 2 Jul 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 Jul 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Jul 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (18 Jan 2002 to 8 Dec 2019)
  • CF21 Investment Adviser (18 Jan 2002 to 31 Oct 2007)
  • CF10 Compliance Oversight (10 Dec 2001 to 18 Jan 2002)
  • CF8 Apportionment and Oversight (10 Dec 2001 to 18 Jan 2002)
  • CF11 Money Laundering Reporting (10 Dec 2001 to 18 Jan 2002)
• Robert James Newton

  IRN RXN00079

  • 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)
  • SMF3 Executive Director (since 1 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2021)
  • [FCA CF] Client dealing (since 3 Mar 2021)
• Roger Howman

  IRN RXH01688

  • CF29 Significant management (19 Jan 2010 to 2 Oct 2015)
• Sandra Anne Browne

  IRN SXB46735

  • SMF3 Executive Director (since 10 Jun 2020)
• Stephen Charles Simons

  IRN SCS01044

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Mar 2024)
• Stuart Frederick Heywood

  IRN SFH00001

  • CF1 Director (1 Nov 2002 to 30 Dec 2006)
  • CF24 Pension Transfer Specialist (28 Sep 2002 to 30 Dec 2006)
  • CF21 Investment Adviser (28 Sep 2002 to 30 Dec 2006)

• 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.