Investment and Tax Advisory Services Limited

• Principal Place of Business

  30A South Street

  Dorchester

  DT1 1BY

  UNITED KINGDOM

  Phone

  +4401202804549

  Web

  https://www.wilcoxyoung.co.uk

• Complaints Contact

  30A South Street

  Dorchester

  DT1 1BY

  UNITED KINGDOM

  Phone

  +4401202804549

• 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.

• 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.

• Authorised to Operate

  For Professional, Retail (Investment)

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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

  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, 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.

• Brian Keith Viney

  IRN BKV01004

  • Responsible for Insurance Distribution (1 Oct 2018 to 3 Oct 2019)
  • Responsible for Insurance Mediation (18 Jun 2014 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (18 Jun 2014 to 8 Jul 2019)
  • CF10 Compliance Oversight (18 Jun 2014 to 8 Jul 2019)
• Christopher Charles Olding

  IRN CCO00001

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 7 Jan 2013)
  • CF21 Investment Adviser (26 Apr 2002 to 31 Oct 2007)
  • CF1 Director (26 Apr 2002 to 24 Jun 2016)
  • CF8 Apportionment and Oversight (26 Apr 2002 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (26 Apr 2002 to 7 Jan 2013)
  • CF10 Compliance Oversight (26 Apr 2002 to 7 Jan 2013)
• Christopher Oliver

  IRN CXO01319

  • SMF16 Compliance Oversight (9 Dec 2019 to 17 Feb 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Feb 2021)
  • CF10 Compliance Oversight (8 Jul 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Jul 2019 to 8 Dec 2019)
• Christopher Paul Willis

  IRN CPW00010

  • CF30 Customer (20 May 2009 to 31 Jan 2010)
• Christopher Robert Goodchild

  IRN CRG00003

  • CF30 Customer (10 Sep 2010 to 22 Sep 2011)
• Daniel Robert Weldon

  IRN DRW01145

  • 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
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Apr 2021)
  • SMF16 Compliance Oversight (since 9 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 3 Oct 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2020 to 1 Feb 2022)
  • CF1 Director (30 Nov 2017 to 8 Dec 2019)
  • CF30 Customer (26 Sep 2017 to 8 Dec 2019)
• David Steward

  IRN DXS08568

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 31 Dec 2021)
  • [FCA CF] Client dealing (9 Dec 2020 to 31 Dec 2021)
  • CF30 Customer (1 Jan 2019 to 8 Dec 2019)
• David Woan

  IRN DXW00153

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 30 Nov 2021)
  • [FCA CF] Client dealing (9 Dec 2020 to 30 Nov 2021)
  • CF30 Customer (11 Feb 2019 to 8 Dec 2019)
• Edward Patrick O'Gorman

  IRN EPO01008

  • Responsible for Insurance Mediation (21 Mar 2013 to 24 Apr 2014)
  • CF11 Money Laundering Reporting (21 Mar 2013 to 18 Jun 2014)
  • CF10 Compliance Oversight (21 Mar 2013 to 18 Jun 2014)
  • CF1 Director (25 Jan 2012 to 17 Jun 2016)
• Gabrielle Julia Frances Knights

  IRN GJH01130

  • CF30 Customer (13 Jan 2012 to 10 Dec 2012)

• Way Investment Services Ltd (no longer appointed)

  FRN 195275 · Appointed 14 Aug 2018 · Until 13 Sep 2021

• Tax Efficient Investments Limited (no longer appointed)

  FRN 630756 · Appointed 15 Feb 2016 · Until 31 Dec 2016

• The Shorter Byrne Partnership LLP (no longer appointed)

  FRN 452826 · Appointed 2 Jun 2006 · Until 19 Jul 2012

• Dominic (''Nick'') Butler (no longer appointed)

  FRN 436193 · Appointed 28 Jul 2005 · Until 28 Jul 2005

No changes recorded yet.