Harold Wilson Financial Services Limited

• Principal Place of Business

  Wilson House

  1-3 Waverley Street

  Nottingham

  Nottinghamshire

  NG7 4HG

  UNITED KINGDOM

  Phone

  +441159420111

  Web

  https://www.wearewilsons.com

• Complaints Contact

  Wilson House

  1-3 Waverley Street

  Nottingham

  Nottinghamshire

  NG7 4HG

  UNITED KINGDOM

  Phone

  +441159420111

• P2P Lending Advice

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

• 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, 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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management 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

  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.

• Joseph William Arthur Cormack

  IRN JWC01150

  • CF30 Customer (7 Feb 2017 to 23 Mar 2018)
• Julie Ann Nelson

  IRN JAN00028

  • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2004)
• Justyna Nieszczerzewska

  IRN JXN00168

  • [FCA CF] Client dealing (3 Sep 2021 to 9 Jan 2026)
  • [FCA CF] Functions requiring qualifications (3 Sep 2021 to 9 Jan 2026)
• Lee Anthony Westley

  IRN LAW01066

  • CF30 Customer (8 May 2009 to 15 Dec 2010)
• Lucy Victoria Field-Richards

  IRN LXF00133

  • 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
  • [FCA CF] Client dealing (since 14 Aug 2023)
  • [FCA CF] Functions requiring qualifications (since 14 Aug 2023)
• Lynn Susan Mayfield

  IRN LSM00001

  • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2004)
• Martin Ashley Vaughan

  IRN MAV01043

  • CF21 Investment Adviser (1 Apr 2004 to 13 May 2004)
  • CF22 Investment Adviser (Trainee) (11 Apr 2003 to 1 Apr 2004)
• Nicholas Allister Black

  IRN NAB01118

  • CF30 Customer (1 Nov 2007 to 18 May 2009)
  • CF22 Investment Adviser (Trainee) (29 Mar 2007 to 31 Oct 2007)
• Patrick Charles Reynolds Makin

  IRN PCM00002

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 28 May 2020)
  • [FCA CF] Significant management (9 Dec 2019 to 28 May 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Paul Christopher Rodgers

  IRN PCR01040

  • CF30 Customer (19 Jan 2009 to 31 May 2013)

No changes recorded yet.