Foundation Investment Management Limited

• Principal Place of Business

  Foundation House

  Scott Drive

  Altrincham

  Cheshire

  WA15 8AB

  UNITED KINGDOM

  Phone

  +4401619277222

• Complaints Contact

  Foundation House

  Scott Drive

  Altrincham

  Cheshire

  WA15 8AB

  UNITED KINGDOM

  Phone

  +4401619277222

• Pension Transfer Advice

  For 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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  • · 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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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 Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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 Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Adam Karasik

  IRN AXK00353

  • CF1 Director (AR) (12 Aug 2021 to 30 Sep 2024)
• Alexander Mark Ward

  IRN AXW00991

  • 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 25 Feb 2026)
  • [FCA CF] Functions requiring qualifications (since 25 Feb 2026)
  • CF30 Customer (since 28 Apr 2025)
• Alexander Miguel Bothwell

  IRN AMB01379

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Oct 2022)
• Amit Kotha

  IRN AXK01411

  • CF3 Chief Executive (AR) (18 Aug 2021 to 25 Oct 2022)
  • CF30 Customer (18 Aug 2021 to 25 Oct 2022)
• Andrew Edward Waldren

  IRN AEW01048

  • CF1 Director (AR) (12 Aug 2021 to 3 Oct 2024)
• Andrew McLaren

  IRN AXM05606

  • Director of firm who is not a certification employee or a SMF manager (since 3 Jul 2025)
• Andrew Wagstaff

  IRN AXW00054

  • 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)
  • CF1 Director (AR) (since 16 Jun 2024)
  • Appointed representative dealing with clients for which they require qualification (since 12 Apr 2024)
  • [FCA CF] Client dealing (since 12 Apr 2024)
  • CF30 Customer (since 24 Mar 2024)
• Craig Watterson

  IRN CXW01374

  • CF30 Customer (27 Jan 2021 to 2 Oct 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 22 Sep 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Sep 2023)
• Duncan Alexander Forbes

  IRN DAF00032

  • 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)
  • CF1 Director (AR) (since 9 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 12 Apr 2024)
  • Appointed representative dealing with clients for which they require qualification (since 12 Apr 2024)
  • [FCA CF] Client dealing (since 12 Apr 2024)
  • CF30 Customer (since 24 Mar 2024)
• Ian James Grundy

  IRN IXG00167

  • Director of firm who is not a certification employee or a SMF manager (since 3 Jul 2025)

• Trident Financial Planning Limited

  FRN 969061 · Appointed 24 Mar 2024 · Tied agent

• Connectus Wealth Management Limited

  FRN 940624 · Appointed 9 Dec 2020 · Tied agent

• Beryllus Capital (UK) Limited (no longer appointed)

  FRN 953374 · Appointed 22 Jun 2021 · Until 12 Dec 2022

No changes recorded yet.