Golden Oak Wealth Management Limited

• Principal Place of Business

  Willoughby House

  2 Broad Street

  Stamford

  Lincolnshire

  PE9 1PB

  UNITED KINGDOM

  Phone

  +441780723118

  Web

  https://www.goldenoakwealthmanagement.co.uk

• Complaints Contact

  Willoughby House

  2 Broad Street

  Stamford

  Lincolnshire

  PE9 1PB

  UNITED KINGDOM

  Phone

  +441780723118

• 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.

• 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

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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, 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.

• Credit Brokering

• 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 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

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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.

• Amy Elizabeth Park

  IRN AEU01008

  • SMF16 Compliance Oversight (since 19 Jun 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Jun 2024)
  • SMF3 Executive Director (since 19 Jun 2024)
• Daniel Peter Payne

  IRN DPP01040

  • [FCA CF] Client dealing (3 Dec 2020 to 20 Aug 2025)
  • [FCA CF] Functions requiring qualifications (3 Dec 2020 to 20 Aug 2025)
• Henry George Rutherford

  IRN HGR01015

  • [FCA CF] Client dealing (19 Nov 2024 to 22 Apr 2025)
  • [FCA CF] Functions requiring qualifications (19 Nov 2024 to 22 Apr 2025)
• Henry Sherwood Dale Metcalf

  IRN HXM01338

  • 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 3 Dec 2020)
  • [FCA CF] Client dealing (since 3 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Jun 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 19 Jun 2024)
  • CF1 Director (2 Oct 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (2 Oct 2017 to 30 Sep 2018)
  • CF30 Customer (2 Oct 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Oct 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Oct 2017 to 8 Dec 2019)
• Simon-Luc Farrow

  IRN SXF00255

  • 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 11 Nov 2025)
  • [FCA CF] Client dealing (since 11 Nov 2025)

No changes recorded yet.