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

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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 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.

• Paul Wilcox

  IRN PXW01227

  • SMF3 Executive Director (16 Feb 2020 to 1 Aug 2021)
  • CF1 Director (21 Aug 2002 to 28 Jul 2014)
• Peter David Atkins

  IRN PDA01087

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • CF30 Customer (1 Nov 2013 to 8 Dec 2019)
• Peter Hugh-Smith

  IRN PXH01241

  • CF30 Customer (25 Apr 2012 to 17 Oct 2014)
  • CF1 Director (25 Apr 2012 to 12 Oct 2013)
• Philippa Jane Wilcox

  IRN PJW01202

  • CF21 Investment Adviser (27 Aug 2002 to 31 Aug 2006)
• Rajinder Singh Hallen

  IRN RSH01044

  • CF30 Customer (4 Mar 2015 to 31 Jan 2018)
• Richard Edwin Green

  IRN REG01075

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2020 to 30 Jun 2021)
  • CF3 Chief Executive (12 Apr 2016 to 17 Nov 2017)
  • CF1 Director (12 Apr 2016 to 17 Nov 2017)
• Sam Fordham

  IRN SAF01141

  • CF30 Customer (1 May 2014 to 5 May 2015)
• Sarah Louise Hannay

  IRN SLH01070

  • CF22 Investment Adviser (Trainee) (22 May 2003 to 13 Aug 2004)
• Simon Weldon

  IRN SXW01231

  • CF30 Customer (8 May 2014 to 30 Apr 2015)
  • CF1 Director (8 May 2014 to 30 Apr 2015)
  • CF3 Chief Executive (8 May 2014 to 30 Apr 2015)
• Stephen Mark Hover

  IRN SMH00018

  • 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 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • CF30 Customer (3 May 2019 to 8 Dec 2019)

• 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.