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

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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 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.

• Luke Christopher Lumbis

  IRN LCL01037

  • 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 29 Jul 2024)
  • [FCA CF] Client dealing (since 29 Jul 2024)
• Richard Anthony Marshall

  IRN RAM00063

  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 18 May 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 18 May 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 18 May 2022)
  • Responsible for Insurance Mediation (23 Jun 2016 to 30 Sep 2018)
  • CF10 Compliance Oversight (23 Jun 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (23 Jun 2016 to 8 Dec 2019)
  • CF30 Customer (23 Jun 2016 to 8 Dec 2019)
  • CF1 Director (23 Jun 2016 to 8 Dec 2019)
• Richard Martyn Hopson

  IRN RMH01156

  • 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)
  • CF1 Director (AR) (since 5 Jul 2025)
  • CF30 Customer (since 5 Jul 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Sep 2022)
  • SMF3 Executive Director (since 20 May 2020)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Jun 2019 to 8 Dec 2019)
• Samantha Jane Bozson

  IRN SJB01566

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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 1 Oct 2025)
  • Appointed representative dealing with clients for which they require qualification (since 1 Oct 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2025)
  • CF30 Customer (since 24 Sep 2025)
• Samuel Ng

  IRN SXN01488

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 5 May 2021)
  • [FCA CF] Client dealing (since 5 May 2021)
• Tracy Karen Hutty

  IRN TKH01013

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [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)

• 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.