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

  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.

• Debt Advice

  Show 2 limitations Hide limitations

  • · 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

  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.

• Hugh Alexander Benjamin Twigg

  IRN HXT00241

  • 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 1 Apr 2026)
  • [FCA CF] Client dealing (since 1 Apr 2026)
• John Michael Bausor

  IRN JMB00045

  • CF1 Director (2 Apr 2013 to 2 Oct 2018)
• Julian Anthony Palmer

  IRN JAP01132

  • 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 Oct 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2025)
• Julie Joan Wigg

  IRN JXW00063

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (AR) (22 Jul 2020 to 9 Feb 2021)
  • CF1 Director (2 Oct 2018 to 8 Dec 2019)
• Kriss Elsdon

  IRN KXE26336

  • 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)
• Nicholas David Marston

  IRN NDM00006

  • Responsible for Insurance Distribution (1 Oct 2018 to 2 Oct 2018)
  • Responsible for Insurance Mediation (2 Apr 2013 to 30 Sep 2018)
  • CF30 Customer (2 Apr 2013 to 13 Jun 2019)
  • CF11 Money Laundering Reporting (2 Apr 2013 to 2 Oct 2018)
  • CF10 Compliance Oversight (2 Apr 2013 to 2 Oct 2018)
  • CF1 Director (2 Apr 2013 to 2 Oct 2018)
• Paul Ormerod

  IRN PSO01014

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

  IRN RXC02305

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 17 Apr 2025)
  • [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)
• Scarlett Ami Marler

  IRN SXM00056

  • 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 15 Sep 2020)
  • [FCA CF] Client dealing (since 15 Sep 2020)
  • CF30 Customer (13 Oct 2020 to 9 Feb 2021)
• Simon Hall

  IRN SXH00588

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Client dealing (since 26 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 26 Jul 2021)

• Asset Wise Associates Ltd (no longer appointed)

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

No changes recorded yet.