Fox Whittle Financial Management Ltd

• Principal Place of Business

  HCL Bank House Financial Services Ltd

  1 Church Road

  Brewood

  Stafford

  Staffordshire

  ST19 9BT

  UNITED KINGDOM

  Phone

  +4401952249166

• Complaints Contact

  H C L Bank House Financial Services Ltd, L Bank House Financial Services Ltd

  1 Church Road

  Brewood

  Stafford

  Staffordshire

  ST19 9BT

  UNITED KINGDOM

  Phone

  +4401902851140

• 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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  • · 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 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, 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, 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 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, 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.

• Antony Edward Lea

  IRN AEL00004

  • SMF3 Executive Director (since 8 Nov 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Nov 2023)
  • SMF1 Chief Executive (since 8 Nov 2023)
• BENEDICT PETER MICHELL

  IRN BPM01060

  • SMF3 Executive Director (since 16 Nov 2023)
• David Anthony Hipkiss

  IRN DAH00007

  • [FCA CF] Manager of certification employee (28 Nov 2023 to 31 Jan 2024)
  • SMF3 Executive Director (10 Nov 2023 to 30 Apr 2024)
  • Responsible for Insurance Distribution (10 Nov 2023 to 30 Apr 2024)
  • SMF16 Compliance Oversight (10 Nov 2023 to 28 Mar 2024)
• Hannah Megan Davies Garratt

  IRN HXG00197

  • 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 21 May 2025)
  • [FCA CF] Functions requiring qualifications (since 21 May 2025)
• Lynn Annetta Aucott

  IRN LAA00008

  • SMF3 Executive Director (9 Dec 2019 to 18 Sep 2023)
  • CF1 Director (14 Jul 2009 to 8 Dec 2019)
• Paul Anthony Trahearn

  IRN PXT00306

  • 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 21 May 2025)
  • [FCA CF] Client dealing (since 21 May 2025)
• Samuel Robert Brueton

  IRN SXB08539

  • Responsible for Insurance Distribution (since 18 Apr 2024)
  • SMF16 Compliance Oversight (since 27 Mar 2024)
  • [FCA CF] Manager of certification employee (since 1 Feb 2024)
  • SMF3 Executive Director (since 8 Nov 2023)
• Simon Dean Aucott

  IRN SDA00003

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Aug 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Aug 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 28 Nov 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 28 Nov 2023)
  • SMF3 Executive Director (9 Dec 2019 to 28 Nov 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 28 Nov 2023)
  • Responsible for Insurance Mediation (14 Jul 2009 to 30 Sep 2018)
  • CF1 Director (14 Jul 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (14 Jul 2009 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (14 Jul 2009 to 8 Dec 2019)
  • CF30 Customer (14 Jul 2009 to 8 Dec 2019)
• Victoria Ann Conway

  IRN VXC00037

  • [FCA CF] Manager of certification employee (since 28 Nov 2023)

No changes recorded yet.