INVEST SOUTHWEST LIMITED

• Principal Place of Business

  12 Hammet Street

  Taunton

  Somerset

  TA1 1RZ

  UNITED KINGDOM

  Phone

  +4401823353970

  Web

  https://www.investsouthwest.co.uk

• Complaints Contact

  12 Hammet Street

  Taunton

  Somerset

  TA1 1RZ

  UNITED KINGDOM

  Phone

  +4401823353970

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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, 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.

• 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

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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 Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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

• 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

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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.

• Credit Score Services

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  • · This permission is limited to not carrying out credit repair services

• Jamie Wheeler

  IRN JXW00538

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 10 Feb 2026)
  • [FCA CF] Client dealing (since 10 Feb 2026)
• Karen Anne Gregory

  IRN KAH00016

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Aug 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Aug 2025)
  • CF30 Customer (4 Oct 2012 to 8 Dec 2019)
• Lawrence Andrew Ward

  IRN LAW01086

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jul 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jul 2023)
  • CF11 Money Laundering Reporting (25 Nov 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (25 Nov 2014 to 8 Dec 2019)
• Marc Raymond Brooker

  IRN MXB04232

  • [FCA CF] Manager of certification employee (since 1 Aug 2025)
• Mark Richard Tarbard

  IRN MRT00016

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Jan 2016 to 8 Dec 2019)
• Martin John Lane

  IRN MJL00037

  • 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)
  • CF30 Customer (27 Jun 2016 to 8 Dec 2019)
• Martin John Shea

  IRN MJS00120

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Jan 2016 to 8 Dec 2019)
• Matthew Conroy Duncan

  IRN MCD01050

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Aug 2023)
  • SMF16 Compliance Oversight (since 10 Aug 2023)
  • [FCA CF] Functions requiring qualifications (since 28 Oct 2022)
  • [FCA CF] Client dealing (since 28 Oct 2022)
  • [FCA CF] Manager of certification employee (since 28 Oct 2022)
  • SMF3 Executive Director (since 29 Sep 2022)
  • Responsible for Insurance Distribution (since 29 Sep 2022)
  • Responsibility for MCD Intermediation (since 29 Sep 2022)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 28 Oct 2022)
  • CF1 Director (AR) (6 Sep 2019 to 5 Oct 2022)
  • CF30 Customer (6 Jan 2009 to 5 Oct 2022)
• Matthew Stuart Tilley

  IRN MST01049

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (9 Nov 2012 to 8 Dec 2019)
• Nicholas Timothy Bashford

  IRN NXB00035

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2026)
  • CF30 Customer (3 Oct 2013 to 8 Dec 2019)

• Milne Standen Financial Planning Ltd (no longer appointed)

  FRN 916114 · Appointed 1 Nov 2019 · Until 11 Nov 2022

• Matthew Duncan Independent Financial Adviser Ltd (no longer appointed)

  FRN 830140 · Appointed 8 Jan 2019 · Until 10 Oct 2022

No changes recorded yet.