MARSHALL WOOLDRIDGE FINANCIAL SERVICES LIMITED

• Principal Place of Business

  Marshall Wooldridge Financial Services Ltd

  Unit 4B

  Regency House

  Kirk Lane

  Leeds

  LS19 7EP

  UNITED KINGDOM

  Phone

  +4407930522929

  Web

  https://mw-fs.com

• Complaints Contact

  Marshall Wooldridge Financial Services Ltd

  Unit 4B

  Regency House

  Kirk Lane

  Leeds

  LS19 7EP

  UNITED KINGDOM

  Phone

  +441132397900

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

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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, 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, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  For Customer

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

• Arranges Investments

  For Commercial, 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, 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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, 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.

• Adam Jonathan Montague-Millar

  IRN AXM13204

  • 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)
  • CF30 Customer (since 7 Jul 2025)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Apr 2019 to 8 Dec 2019)
• Alan John Mills

  IRN AJM00055

  • 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)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (since 15 Jul 2016)
  • CF1 Director (AR) (since 15 Jul 2016)
• Alfred Andrew Walker

  IRN AAW00003

  • 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
  • CF30 Customer (since 28 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (11 Jul 2016 to 8 Dec 2019)
• David Charles Hemsley

  IRN DCK00002

  • 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
  • CF30 Customer (since 27 Jun 2025)
  • Responsible for Insurance Distribution (since 29 Jul 2022)
  • SMF16 Compliance Oversight (since 29 Jul 2022)
  • SMF3 Executive Director (since 21 May 2020)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (11 Jul 2016 to 8 Dec 2019)
• David Empson

  IRN DXE84245

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Graham James Strugnell

  IRN GJS00010

  • CF30 Customer (11 Jul 2016 to 23 May 2018)
• Ian Gordon Caplan

  IRN IGC00003

  • CF30 Customer (since 20 May 2021)
• Jacob Parsons

  IRN JXP00681

  • 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 16 Jun 2025)
  • [FCA CF] Client dealing (since 16 Jun 2025)
• James Andrew Hall

  IRN JAH00128

  • CF1 Director (23 Jun 2016 to 22 Jul 2019)
• Joanne Patricia Fraser

  IRN JPF00029

  • [FCA CF] Client dealing (9 Dec 2019 to 22 Dec 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Dec 2025)
  • CF30 Customer (19 Jul 2016 to 8 Dec 2019)

• MARSHALL WOOLDRIDGE WEALTH MANAGEMENT LTD

  FRN 949383 · Appointed 20 Apr 2021

• Pennine Financial Planning Ltd

  FRN 459022 · Appointed 10 Jul 2016

No changes recorded yet.