J. ILLINGWORTH AND COMPANY LIMITED

• Principal Place of Business

  Newgate House

  1 Newgate

  York

  North Yorkshire

  YO1 7LA

  UNITED KINGDOM

  Phone

  +441904631622

  Web

  https://www.illingworths.co.uk

• Complaints Contact

  Newgate House

  1 Newgate

  York

  North Yorkshire

  YO1 7LA

  UNITED KINGDOM

  Phone

  +4401904631622

• Pension Transfer Advice

  For Professional, Retail (Investment), Personal pension scheme, Stakeholder pension scheme

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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.

• 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.

• Insurance Admin

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

• Credit Brokering

• Stockbroking

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

• Debt Advice

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

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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.

• Benjamin Dale Arnott

  IRN BDA00006

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (3 Jan 2014 to 8 Dec 2019)
• Benn Michael Knowles

  IRN BXK00240

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 8 Jul 2025)
  • [FCA CF] Client dealing (since 8 Jul 2025)
• Colin Michael Burton

  IRN CMB00022

  • CF1 Director (8 May 2002 to 12 Jun 2003)
• Craig Howard

  IRN CXH02151

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Dec 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Dec 2021)
  • CF30 Customer (7 Mar 2019 to 8 Dec 2019)
• Darrell Mark Wood

  IRN DMW00009

  • CF30 Customer (10 Aug 2010 to 30 Dec 2011)
• Darren Michael Kelly

  IRN DMK01032

  • Responsible for Insurance Distribution (since 7 Apr 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (8 May 2002 to 8 Dec 2019)
• David George Dunning

  IRN DGD00002

  • CF30 Customer (15 Nov 2013 to 8 Apr 2014)
• Emma Jayne Hunton

  IRN EJH00025

  • CF1 Director (8 May 2002 to 12 Sep 2014)
• Gavin Paul Pugh

  IRN GPP00002

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Feb 2020)
  • SMF16 Compliance Oversight (since 21 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 26 Apr 2016)
  • CF1 Director (AR) (since 14 Jan 2013)
  • CF30 Customer (since 1 Nov 2007)
  • CF1 Director (21 Jul 2009 to 8 Dec 2019)
  • CF21 Investment Adviser (14 Sep 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (24 Mar 2005 to 3 Nov 2005)
• Graham Elliott Stockill

  IRN GES00002

  • CF30 Customer (31 Jul 2012 to 14 Jan 2021)

• Seekings & Wardle Financial Services Ltd

  FRN 232341 · Appointed 25 Jul 2012

• Illingworths Invest Direct Ltd (no longer appointed)

  FRN 805343 · Appointed 29 Mar 2018 · Until 10 Nov 2022

No changes recorded yet.