Henwood Court Financial Planning Limited

• Principal Place of Business

  20 Country Park View

  Sutton Coldfield

  West Midlands

  B76 1TE

  UNITED KINGDOM

  Phone

  +4401213131370

  Web

  https://www.henwoodcourt.co.uk

• Complaints Contact

  20 Country Park View

  Sutton Coldfield

  West Midlands

  B76 1TE

  UNITED KINGDOM

  Phone

  +4401213131370

• P2P Lending Advice

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

• Pension Transfer Advice

  For Retail (Investment), Life Policy, 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.

• 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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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.

• Helen Allen

  IRN HXP00002

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (5 Oct 2016 to 8 Dec 2019)
• Jason Philip Ashman

  IRN JPA00018

  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (20 Apr 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (7 Feb 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (25 Nov 2013 to 8 Dec 2019)
  • CF30 Customer (21 Nov 2012 to 8 Dec 2019)
• Katherine Woolley

  IRN KXW00086

  • [FCA CF] Proprietary trader (since 9 Dec 2019)
• Lynette Jayne Coffey

  IRN LJC01156

  • [FCA CF] Proprietary trader (since 17 Apr 2024)
  • [FCA CF] Client dealing (16 May 2022 to 17 Apr 2024)
• Mark Rickards

  IRN MPR01096

  • CF30 Customer (23 Jul 2018 to 17 Apr 2019)
• Matthew Lawton

  IRN MXL00103

  • [FCA CF] Proprietary trader (9 Dec 2019 to 12 Aug 2021)
• Matthew Taylor

  IRN MXT15028

  • [FCA CF] Client dealing (1 Mar 2022 to 5 Apr 2023)
  • [FCA CF] Functions requiring qualifications (1 Mar 2022 to 5 Apr 2023)
• Naomi Banks

  IRN NXB00502

  • [FCA CF] Proprietary trader (since 30 Jan 2024)
• Nicholas Graham Bernard Platt

  IRN NGP00004

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF3 Chief Executive (1 Nov 2019 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (7 Feb 2005 to 30 Sep 2018)
  • CF1 Director (4 Feb 2005 to 1 Nov 2019)
  • CF11 Money Laundering Reporting (4 Feb 2005 to 30 Jan 2014)
  • CF21 Investment Adviser (4 Feb 2005 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (4 Feb 2005 to 31 Mar 2009)
  • CF10 Compliance Oversight (4 Feb 2005 to 18 Nov 2013)
• Paul Andrew Bradley

  IRN PAB00025

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Oct 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Feb 2023)
  • CF30 Customer (4 Oct 2010 to 8 Dec 2019)

No changes recorded yet.