CONSULT LWC LIMITED

• Principal Place of Business

  Waller House

  20 New Street

  Ledbury

  Herefordshire

  HR8 2DX

  UNITED KINGDOM

  Phone

  +4401531825208

• Complaints Contact

  Waller House

  20 New Street

  Ledbury

  Herefordshire

  HR8 2DX

  UNITED KINGDOM

  Phone

  +4401531825208

• P2P Lending Advice

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

• Pension Transfer Advice

  For Retail (Investment), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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 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, 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 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, 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.

• Investment Setup

  For 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, 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.

• ANDREW VINCENT SMITH

  IRN AXS00622

  • [FCA CF] Client dealing (since 9 Dec 2019)
• Andrew Frank Knighton

  IRN AFK01022

  • [FCA CF] Significant management (9 Dec 2019 to 31 Aug 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2024)
  • SMF3 Executive Director (9 Dec 2019 to 20 Sep 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 May 2024)
  • CF1 Director (17 Aug 2019 to 8 Dec 2019)
  • CF30 Customer (17 Aug 2019 to 8 Dec 2019)
  • CF29 Significant management (17 Aug 2019 to 8 Dec 2019)
• Anne Bernadine Lindsay

  IRN ABL00001

  • 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)
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 17. Administrative functions in relation to managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (27 Jun 2018 to 8 Dec 2019)
  • CF30 Customer (29 Nov 2007 to 8 Dec 2019)
  • CF1 Director (29 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (29 Nov 2007 to 8 Dec 2019)
• DARRON JAMES PRESTON

  IRN DJH01297

  • 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
  • 17. Administrative functions in relation to managing investments
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (19 Aug 2019 to 8 Dec 2019)
• James Andrew Temperley

  IRN JAT01135

  • CF30 Customer (26 Apr 2013 to 10 Nov 2013)
• Keith Richard Barrett

  IRN KRB00019

  • CF24 Pension Transfer Specialist
  • CF21 Investment Adviser
  • CF30 Customer (29 Nov 2007 to 31 Dec 2012)
  • Responsible for Insurance Mediation (29 Nov 2007 to 31 Dec 2012)
  • CF1 Director (29 Nov 2007 to 31 Dec 2012)
  • CF11 Money Laundering Reporting (29 Nov 2007 to 31 Dec 2012)
• Paul Marcus Thomas

  IRN PMT01076

  • CF11 Money Laundering Reporting (30 Jul 2015 to 15 Mar 2018)
• Stephen David Hall

  IRN SDH01056

  • CF21 Investment Adviser
  • CF30 Customer (15 Jul 2016 to 13 Feb 2018)

No changes recorded yet.