F G WATTS FINANCIAL ADVISERS LIMITED

• Principal Place of Business

  Unit 5

  Mobbs Miller House

  Christchurch Road

  Northampton

  Northamptonshire

  NN1 5LL

  UNITED KINGDOM

  Phone

  +4401604973400

  Web

  https://www.fgwattsifa.co.uk

• Complaints Contact

  5 Mobbs Miller House

  Christchurch Road

  Christchurch Road

  Northampton

  Northamptonshire

  NN1 5LL

  UNITED KINGDOM

  Phone

  +4401604973400

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Negotiation

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  • · Limited to debt adjusting excluding the conclusion or administration of 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”.

• Debt Advice

  Show 1 limitation 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”.

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Basic Pension Advice

  For Professional, Retail (Investment), Stakeholder products

• Brian Thompson

  IRN BXT00046

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (2 Oct 2017 to 8 Dec 2019)
• David Kevin Patrick

  IRN DKP00010

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Feb 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Feb 2024)
  • CF30 Customer (2 Oct 2017 to 8 Dec 2019)
• David Lee Baldwin

  IRN DLB00017

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (2 Oct 2017 to 8 Dec 2019)
  • CF30 Customer (2 Oct 2017 to 8 Dec 2019)
• Geoffrey Thomas Howes

  IRN GTH00011

  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2025)
  • CF1 Director (2 Oct 2017 to 8 Dec 2019)
• Glenn Robert Thompson

  IRN GRT01043

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (2 Oct 2017 to 8 Dec 2019)
• Shaun Ronald Jellis

  IRN SRJ00008

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • Responsibility for MCD Intermediation (since 23 May 2024)
  • SMF3 Executive Director (since 23 May 2024)
  • [FCA CF] Significant management (since 1 Oct 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (2 Oct 2017 to 8 Dec 2019)
• Trevor John Panther

  IRN TJP00036

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 2 Oct 2017)
  • CF11 Money Laundering Reporting (12 Jul 2019 to 8 Dec 2019)
  • Responsible for Insurance Mediation (2 Oct 2017 to 30 Sep 2018)
  • CF1 Director (2 Oct 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Oct 2017 to 8 Dec 2019)
  • CF30 Customer (2 Oct 2017 to 8 Dec 2019)

No changes recorded yet.