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.

• Hannah Marie Jenkins

  IRN HMB01082

  • 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 (since 5 Oct 2018)
• Ian Walton Brindle

  IRN IWB00004

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Mar 2020)
  • SMF3 Executive Director (9 Dec 2019 to 16 Apr 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 2 Mar 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 16 Apr 2021)
  • CF1 Director (AR) (4 Jan 2013 to 16 Apr 2021)
  • Responsible for Insurance Mediation (6 Mar 2012 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (6 Feb 2008 to 31 Mar 2009)
  • CF10 Compliance Oversight (6 Feb 2008 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (6 Feb 2008 to 8 Dec 2019)
  • CF1 Director (8 May 2002 to 8 Dec 2019)
• Jason Feather

  IRN JXF00523

  • [FCA CF] Client dealing (22 Jun 2023 to 17 Jan 2025)
  • [FCA CF] Functions requiring qualifications (22 Jun 2023 to 31 Jul 2024)
• Michael Carlton Oglesby

  IRN MCO00002

  • [FCA CF] Client dealing (11 Mar 2022 to 18 Mar 2022)
  • [FCA CF] Functions requiring qualifications (11 Mar 2022 to 25 Mar 2022)
• Michael David Urquhart

  IRN MDU00001

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF11 Money Laundering Reporting (8 May 2002 to 1 Jan 2008)
  • CF10 Compliance Oversight (8 May 2002 to 13 Sep 2006)
  • CF21 Investment Adviser (8 May 2002 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (8 May 2002 to 13 Sep 2006)
  • CF1 Director (8 May 2002 to 31 Dec 2008)
• Michael Pinchon

  IRN MXP00051

  • CF8 Apportionment and Oversight (19 Sep 2006 to 31 Mar 2008)
  • CF10 Compliance Oversight (19 Sep 2006 to 31 Mar 2008)
  • CF3 Chief Executive (19 Sep 2006 to 31 Mar 2008)
  • Responsible for Insurance Mediation (14 Jan 2005 to 31 Mar 2008)
  • CF1 Director (8 May 2002 to 31 Mar 2008)
• Stephen Daniel Richards

  IRN SDR00015

  • CF30 Customer (6 Oct 2008 to 23 Feb 2018)
• Steven Davidson

  IRN SXD00027

  • CF30 Customer (12 Mar 2013 to 8 Dec 2016)
• Thomas Bernard Witty

  IRN TBW00001

  • CF30 Customer (27 Jul 2012 to 26 Apr 2016)

• 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.