Morton-Wilson Associates Limited

Date authorised
1 April 2013
Companies House
03826685
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    The Stables
    Chatford Farm
    Chatford
    Bayston Hill
    Shrewsbury
    Shropshire
    SY3 0AY
    UNITED KINGDOM
    Phone
    +4401743718789
    Web
    https://www.mwalimited.com

  • Complaints Contact

    The Stables
    Chatford Farm
    Chatford
    Bayston Hill
    Shrewsbury
    Shropshire
    SY3 0AY
    UNITED KINGDOM
    Phone
    +4401743718789

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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 2 limitations
    • · 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, 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, Unit, Warrant

    Show 1 limitation
    • · 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
    • · 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, Unit, Warrant

    Show 1 limitation
    • · 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, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Caroline Wilson Monro

    IRN CWM01041

    • CF1 Director (9 Jan 2006 to 1 Apr 2011)
  • Emma Juliet Jones

    IRN EXJ21378

    • 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)
    • SMF3 Executive Director (since 18 May 2023)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (8 Oct 2019 to 8 Dec 2019)
  • Graham Lionel Fidoe

    IRN GLF00003

    • CF2 Non Executive Director (1 Dec 2001 to 16 Jan 2006)
  • James Monro

    IRN JXM00406

    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF3 Chief Executive (28 Nov 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (28 Nov 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (28 Nov 2005 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (28 Nov 2005 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • John Reginald Staddon

    IRN JRS00029

    • CF21 Investment Adviser (1 Jan 2003 to 29 Apr 2005)
  • John Stewart Wilson Jones

    IRN JSJ00002

    • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Dec 2005)
    • CF10 Compliance Oversight (1 Dec 2001 to 1 Dec 2005)
    • CF1 Director (1 Dec 2001 to 30 Apr 2008)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Dec 2005)
    • CF3 Chief Executive (1 Dec 2001 to 1 Dec 2005)
  • Karen Jeanette Webber

    IRN KJW01109

    • CF30 Customer (1 Nov 2007 to 14 Dec 2018)
    • CF22 Investment Adviser (Trainee) (1 Oct 2006 to 31 Oct 2007)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.