KW Investment Management Limited

• Principal Place of Business

  K W Wealth, 10-11 Austin Friars

  London

  Middlesex

  EC2N 2HG

  UNITED KINGDOM

  Phone

  +4402072030730

  Web

  https://www.kingswood-group.com

• Complaints Contact

  K W Wealth, 10-11 Austin Friars

  London

  Middlesex

  EC2N 2HG

  UNITED KINGDOM

  Phone

  +4402072030730

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Trade Settlement Routing

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, 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.

• Electronic Trade Settlement

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Phillip John Scurlock-Davies

  IRN PJS01191

  • CF30 Customer (13 Sep 2016 to 13 Feb 2018)
• ROSS LEONARD EDWARD JOHN ALLEN

  IRN RLA01034

  • [FCA CF] Client dealing (since 27 Aug 2025)
• Rennie Iain Kingsley Little

  IRN RIL01015

  • CF1 Director (7 Sep 2015 to 12 Jul 2018)
• Richard Bernstein

  IRN RXB02710

  • SMF16 Compliance Oversight (5 Jun 2020 to 25 May 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (5 Jun 2020 to 25 May 2023)
  • SMF3 Executive Director (5 Jun 2020 to 25 May 2023)
• Richard Klein

  IRN RDK01022

  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Aug 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Aug 2023)
  • CF30 Customer (4 Jun 2019 to 8 Dec 2019)
  • CF1 Director (4 Jun 2019 to 3 Dec 2019)
• Richard Patrick Avery-Wright

  IRN RPA01018

  • [PRA CF] Significant risk taker or Material risk taker (12 May 2022 to 18 Apr 2024)
• Richard Wayne-Wynne

  IRN RXW01213

  • CF30 Customer (31 Jan 2011 to 24 Jan 2012)
• Richard William Stammers

  IRN RWS01082

  • CF30 Customer (1 Dec 2017 to 22 Mar 2019)
• Roderick Gentry

  IRN RXG01210

  • CF1 Director (11 Oct 2010 to 30 Apr 2016)
  • CF3 Chief Executive (11 Oct 2010 to 30 Apr 2016)
  • CF30 Customer (11 Oct 2010 to 4 Mar 2013)
• Rosemary Anne Alder

  IRN RAA01060

  • CF10 Compliance Oversight (14 Feb 2012 to 28 Mar 2014)

No changes recorded yet.