Independent Wealth Management Consultants Ltd

• Principal Place of Business

  27 Grove Street

  Retford

  Nottinghamshire

  DN22 6JP

  UNITED KINGDOM

  Phone

  +4401777700026

  Web

  https://www.iwmcltd.co.uk

• Complaints Contact

  27 Grove Street

  Retford

  Nottinghamshire

  DN22 6JP

  UNITED KINGDOM

  Phone

  +4401777700026

• 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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  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Debt Advice

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  • · Limited to debt counselling excluding the administration of debt management plans In this limitation debt management plans are 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"

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Kerry Jane Ann Lee

  IRN KJL01070

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 11. Pension transfer specialist
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 1 Jul 2016)
  • Responsible for Insurance Mediation (4 Dec 2015 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Jun 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jun 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (20 Apr 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (20 Apr 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (15 Mar 2006 to 20 Apr 2006)
• Lisa Marie McCaw

  IRN LMR01036

  • CF30 Customer (28 Jun 2016 to 16 Nov 2018)
• Richard Simon French

  IRN RSF00002

  • CF8 Apportionment and Oversight (1 Dec 2001 to 12 Jan 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 12 Jan 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Jun 2004)
  • CF1 Director (1 Dec 2001 to 1 Jun 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 12 Jan 2007)
• Richard Tebbs

  IRN RDT00012

  • CF30 Customer (22 Sep 2010 to 17 Feb 2012)
• Sarah Turner

  IRN SJT00007

  • CF21 Investment Adviser (1 Dec 2001 to 1 Jan 2004)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 1 Jan 2004)
• Shelley Hookings

  IRN SXH00261

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Dec 2021)
• Steve Spruce

  IRN SXS00108

  • CF30 Customer (9 Jul 2009 to 21 Jul 2010)
  • CF11 Money Laundering Reporting (9 Jul 2009 to 28 Feb 2011)
  • CF1 Director (9 Jul 2009 to 28 Feb 2011)
• Steven John Price

  IRN SJP01214

  • CF30 Customer (15 Jul 2008 to 1 Feb 2010)
• Timothy Russell Davison

  IRN TRD00001

  • CF3 Chief Executive (22 Apr 2010 to 30 Nov 2015)
  • CF30 Customer (1 Nov 2007 to 1 Jan 2013)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Nov 2015)
  • CF8 Apportionment and Oversight (29 Sep 2004 to 1 Nov 2007)
  • CF11 Money Laundering Reporting (29 Sep 2004 to 1 Jun 2009)
  • CF10 Compliance Oversight (29 Sep 2004 to 1 Jun 2007)
  • CF1 Director (1 Dec 2001 to 1 Jun 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Wayne Robert Lowe

  IRN WRL01017

  • [FCA CF] Client dealing (21 Dec 2020 to 30 Apr 2021)
  • [FCA CF] Functions requiring qualifications (21 Dec 2020 to 30 Apr 2021)

No changes recorded yet.