Highwood Financial Services

• Principal Place of Business

  Highwood Group Of Companies

  Victoria House 45-47

  Vicarage Road

  Watford

  Hertfordshire

  WD18 0DE

  UNITED KINGDOM

  Phone

  +4401923479850

  Web

  https://www.highwood.co.uk

• Complaints Contact

  Victoria House

  45-47 Vicarage Road

  Watford

  Hertfordshire

  WD18 0DE

  UNITED KINGDOM

  Phone

  +441923479850

• 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

  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 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

  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, Structured Deposits, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• 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

  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.

• Carl-Peter Lehmann

  IRN CXL01344

  • CF30 Customer (27 May 2008 to 17 Nov 2008)
• Caroline Elizabeth Ashton

  IRN CEA01024

  • 11. Pension transfer specialist
  • 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 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • CF30 Customer (20 Jun 2014 to 8 Dec 2019)
• David Assor

  IRN DXA00093

  • [FCA CF] Functions requiring qualifications (8 May 2024 to 19 Aug 2025)
• David Elliot Kass

  IRN DEK00004

  • CF4 Partner (1 Dec 2001 to 31 Dec 2001)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 31 Dec 2001)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 2 Jan 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2001)
• David John Sutton

  IRN DJS01288

  • CF30 Customer (1 Nov 2007 to 6 May 2008)
  • CF22 Investment Adviser (Trainee) (23 Jul 2007 to 31 Oct 2007)
• Dawn Herriott

  IRN DXH00257

  • 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 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • [FCA CF] Significant management (since 9 Dec 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (27 Apr 2005 to 8 Dec 2019)
  • CF10 Compliance Oversight (27 Apr 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (12 May 2003 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 12 May 2003)
• Graeme David Godfrey

  IRN GDG00001

  • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
  • CF21 Investment Adviser (11 May 2006 to 31 Oct 2007)
• Graham Barry Connor

  IRN GBC01042

  • CF30 Customer (28 Feb 2018 to 21 Aug 2019)
• Jamie Maximillian Travers Hutchin

  IRN JMH00006

  • CF30 Customer (29 Apr 2010 to 20 Sep 2011)
• John Simon Helfgott

  IRN JSH00003

  • 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] Significant management (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.