KPW Investments LLP

• Principal Place of Business

  K P W Investments (Scotland) Ltd

  7 Royal Crescent

  Glasgow

  Glasgow City

  G3 7SL

  UNITED KINGDOM

  Phone

  +441412484982

  Web

  http://www.kpwinvestments.co.uk

• Complaints Contact

  K P W Investments (Scotland) Ltd

  7 Royal Crescent

  Glasgow

  Glasgow City

  G3 7SL

  UNITED KINGDOM

  Phone

  +4401412484982

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For 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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

  Show 2 limitations Hide limitations

  • · Firm is permitted to carry on this activity in relation to first charge mortgages only
  • · Firm is not permitted to carry on this activity in relation to lifetime mortgages

• Authorised to Operate

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

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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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

  Show 2 limitations Hide limitations

  • · Firm is permitted to carry on this activity in relation to first charge mortgages only
  • · Firm is not permitted to carry on this activity in relation to lifetime mortgages

• Buy-to-Let Start Date

• Buy-to-Let Status

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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, Spread Bet, 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.

• Stephen Wright

  IRN SXW01665

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 11. Pension transfer specialist
  • CF1 Director (AR) (since 7 Feb 2024)
  • [FCA CF] Client dealing (since 2 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 2 Mar 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Significant management (2 Mar 2020 to 18 Mar 2021)
  • [FCA CF] CASS oversight function (2 Mar 2020 to 18 Mar 2021)
  • [PRA CF] Key function holder (2 Mar 2020 to 18 Mar 2021)
  • CF4 Partner (19 Feb 2014 to 8 Dec 2019)
  • CF30 Customer (19 Feb 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (19 Feb 2014 to 8 Dec 2019)
• Thomas John Marshall

  IRN TJM01201

  • 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)
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2025)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2025)
• William MacLean

  IRN WXM00038

  • [FCA CF] Functions requiring qualifications (2 Mar 2021 to 30 Mar 2023)
  • [FCA CF] Client dealing (2 Mar 2021 to 30 Mar 2023)
  • CF30 Customer (1 Nov 2017 to 8 Dec 2019)
• William Storrie

  IRN WXS00045

  • 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 24 Jun 2022)
  • [FCA CF] Client dealing (since 24 Jun 2022)

• Optimize Financial Solutions Limited

  FRN 460558 · Appointed 7 Feb 2024

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