CMS Wealth Ltd

• Principal Place of Business

  Courtyard Office 3

  Upper Aynho Grounds

  Aynho

  Oxfordshire

  OX17 3AY

  UNITED KINGDOM

  Phone

  +4401869345588

  Web

  https://www.cmswealth.co.uk

• Complaints Contact

  Courtyard Office 3

  Upper Aynho Grounds

  Aynho

  Oxfordshire

  OX17 3AY

  UNITED KINGDOM

  Phone

  +4401869345588

• 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

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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), 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

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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”.
  • · This permission is limited to debt counselling in connection with investment advice

• 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

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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.

• Alison Sarah Loder

  IRN ASO01030

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (28 Nov 2013 to 8 Dec 2019)
• Andrew John Morris

  IRN AJM00030

  • 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
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (13 Oct 2020 to 9 Feb 2021)
• Andrew Roberts

  IRN AXR00261

  • 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 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2023)
• Baylee Cannon

  IRN BXC00379

  • 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 17 Feb 2026)
  • [FCA CF] Functions requiring qualifications (since 17 Feb 2026)
• Claire Watson

  IRN CLB01109

  • [FCA CF] Client dealing (11 Aug 2021 to 23 Jun 2023)
  • [FCA CF] Functions requiring qualifications (11 Aug 2021 to 23 Jun 2023)
• Connor James Tustain

  IRN CXT26335

  • 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 3 Aug 2020)
  • [FCA CF] Functions requiring qualifications (since 3 Aug 2020)
  • CF30 Customer (13 Oct 2020 to 9 Feb 2021)
• David Keith Marler

  IRN DKM00003

  • SMF3 Executive Director (since 17 Apr 2025)
  • CF1 Director (AR) (22 Jul 2020 to 9 Feb 2021)
  • SMF3 Executive Director (9 Dec 2019 to 15 Sep 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2022)
  • CF30 Customer (2 Oct 2018 to 8 Dec 2019)
  • CF1 Director (2 Oct 2018 to 8 Dec 2019)
• David Kenneth Carter

  IRN DKC01032

  • CF30 Customer (22 Jul 2020 to 12 Feb 2021)
  • CF1 Director (AR) (22 Jul 2020 to 9 Feb 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2025)
  • CF1 Director (2 Oct 2018 to 8 Dec 2019)
• Deborah Suzanne Ormerod

  IRN DSA00005

  • CF30 Customer (13 Oct 2020 to 9 Feb 2021)
  • [FCA CF] Functions requiring qualifications (11 Jul 2020 to 19 Jan 2021)
  • [FCA CF] Client dealing (11 Jul 2020 to 19 Jan 2021)
• Greig Ross

  IRN GXR00152

  • 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 16 Aug 2021)
  • [FCA CF] Functions requiring qualifications (since 16 Aug 2021)

• Asset Wise Associates Ltd (no longer appointed)

  FRN 544490 · Appointed 11 Jul 2020 · Until 15 Feb 2021

No changes recorded yet.