Herbert & Webster Ltd

• Principal Place of Business

  Herbert & Webster Ltd

  Marlow Place

  Station Road

  Marlow

  Buckinghamshire

  SL7 1NB

  UNITED KINGDOM

  Phone

  +4401628969525

  Web

  https://www.herbertandwebster.co.uk

• Complaints Contact

  Herbert & Webster Ltd

  Marlow Place

  Station Road

  Marlow

  Buckinghamshire

  SL7 1NB

  UNITED KINGDOM

  Phone

  +4401628969525

• P2P Lending Advice

  For Commercial, Eligible Counterparty, 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, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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, 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.

• 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, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Funeral plan contract, 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.

• Basic Pension Advice

  For Eligible Counterparty, Professional, Retail (Investment), Stakeholder products

• Adam Herbert

  IRN AXH01894

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 3 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 3 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (27 Jun 2014 to 8 Dec 2019)
  • CF1 Director (3 Nov 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 Nov 2010 to 30 Sep 2018)
  • CF10 Compliance Oversight (3 Nov 2010 to 8 Dec 2019)
  • CF30 Customer (3 Nov 2010 to 8 Dec 2019)
• Colin Webster

  IRN CXW00034

  • CF11 Money Laundering Reporting (3 Nov 2010 to 16 Jun 2014)
  • CF1 Director (3 Nov 2010 to 16 Jun 2014)
  • CF30 Customer (3 Nov 2010 to 29 Dec 2012)
• Ian Robert Brookes

  IRN IRB01041

  • [FCA CF] Functions requiring qualifications (3 Dec 2020 to 3 Feb 2023)
  • [FCA CF] Client dealing (3 Dec 2020 to 3 Feb 2023)
• Kurt Gary McSweeney

  IRN KGM01044

  • [FCA CF] Client dealing (3 Dec 2020 to 12 May 2022)
  • [FCA CF] Functions requiring qualifications (3 Dec 2020 to 12 May 2022)
  • CF30 Customer (17 Apr 2015 to 8 Dec 2019)
• Marina Béatrice Herbert

  IRN MBG01050

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (4 Apr 2017 to 8 Dec 2019)
• Robert Marc Gray

  IRN RMG00034

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 3 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 3 Dec 2020)
  • CF30 Customer (4 Jul 2013 to 8 Dec 2019)
• Selena Joan Hills

  IRN SXH01239

  • 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 23 Oct 2024)
  • [FCA CF] Client dealing (since 23 Oct 2024)

No changes recorded yet.