Laithwaite Financial Services Limited

• Principal Place of Business

  The Forge

  101 Robin Hood Road

  Knaphill

  Woking

  Surrey

  GU21 2LS

  UNITED KINGDOM

  Phone

  +4401483489895

  Web

  https://www.laithwaiteifa.co.uk

• Complaints Contact

  The Forge

  101 Robin Hood Road

  Knaphill

  Woking

  Surrey

  GU21 2LS

  UNITED KINGDOM

  Phone

  +4401483489895

• P2P Lending Advice

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

• 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

  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.

• 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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.

• 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.

• Andrew Brian Meredith Laithwaite

  IRN ABL01007

  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (29 Sep 2016 to 13 Apr 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (1 Aug 2003 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Aug 2003 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (1 Aug 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Aug 2003 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Aug 2003 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Aug 2003 to 8 Dec 2019)
• Donna Dee Jackson

  IRN DDK01003

  • [FCA CF] Client dealing (16 Jan 2023 to 10 Feb 2023)
  • [FCA CF] Functions requiring qualifications (16 Jan 2023 to 10 Feb 2023)
• Edward Richard James Lane

  IRN ERL01017

  • CF30 Customer (17 Aug 2015 to 26 Jan 2016)
• Giles Sinclair Garlick

  IRN GSG00008

  • [FCA CF] Client dealing (31 May 2023 to 29 Dec 2023)
  • [FCA CF] Functions requiring qualifications (31 May 2023 to 29 Dec 2023)
• Ian Stuart Crump

  IRN ISC01041

  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (16 Apr 2018 to 8 Dec 2019)
• James Richard Eager

  IRN JXE00394

  • 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 19 Jun 2025)
  • [FCA CF] Client dealing (since 19 Jun 2025)
• Jonathan Roger Hailey

  IRN JRH00034

  • CF30 Customer (1 Nov 2007 to 31 Jan 2008)
  • CF21 Investment Adviser (12 May 2005 to 31 Oct 2007)
• Julian Thomas Strauss

  IRN JTS01049

  • CF30 Customer (8 May 2008 to 26 Dec 2018)
• Philip James Robinson

  IRN PJR01181

  • CF30 Customer (11 Jun 2008 to 31 Jul 2019)
• Richard Anthony Braid

  IRN RAB01215

  • 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
  • 11. Pension transfer specialist
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Jan 2016 to 8 Dec 2019)

No changes recorded yet.