New Oak Wealth Management Limited

• Principal Place of Business

  8 Ashford Court

  Kirkburton

  Huddersfield

  West Yorkshire

  HD8 0US

  UNITED KINGDOM

  Phone

  +4401484603886

• Complaints Contact

  8 Ashford Court

  Kirkburton

  Huddersfield

  West Yorkshire

  HD8 0US

  UNITED KINGDOM

  Phone

  +4401484603886

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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, 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

• 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 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

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management 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

• Martin Ramon Carballo

  IRN MRC00034

  • CF30 Customer (23 May 2016 to 1 Mar 2017)
• Naomi Richardson

  IRN NXR01229

  • CF1 Director (AR) (25 Oct 2007 to 2 Mar 2017)
• Neil Wesson

  IRN NXW00023

  • 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 13 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 13 Jul 2023)
• Paul John Richardson

  IRN PJR00046

  • CF30 Customer (1 Nov 2007 to 1 Mar 2017)
  • CF1 Director (AR) (23 Oct 2007 to 2 Mar 2017)
  • Responsible for Insurance Mediation (17 Jan 2006 to 21 Jan 2017)
  • CF8 Apportionment and Oversight (17 Jan 2006 to 31 Mar 2009)
  • CF21 Investment Adviser (17 Jan 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (17 Jan 2006 to 1 Apr 2007)
  • CF10 Compliance Oversight (17 Jan 2006 to 21 Jan 2017)
  • CF1 Director (17 Jan 2006 to 4 Apr 2017)
• Richard Stuart Leach

  IRN RSL00006

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 27 Apr 2022)
  • CF1 Director (AR) (7 Nov 2007 to 26 Apr 2022)
  • CF1 Director (7 Nov 2007 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 26 Apr 2022)
  • CF21 Investment Adviser (5 Oct 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Mar 2006 to 5 Oct 2006)
• Stephen John Fonquernie-Fisher

  IRN SJF00010

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 27 Apr 2022)
  • CF10 Compliance Oversight (6 Feb 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (6 Feb 2017 to 30 Sep 2018)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 4 Dec 2017)
  • CF30 Customer (1 Nov 2007 to 26 Apr 2022)
  • CF1 Director (AR) (23 Oct 2007 to 26 Apr 2022)
  • CF11 Money Laundering Reporting (1 May 2007 to 8 Dec 2019)
  • CF1 Director (17 Jan 2006 to 8 Dec 2019)
  • CF21 Investment Adviser (17 Jan 2006 to 31 Oct 2007)
• Susan Jane Fonquernie-Fisher

  IRN SJF01200

  • Director of firm who is not a certification employee or a SMF manager (since 27 Apr 2022)
  • CF1 Director (AR) (25 Oct 2007 to 26 Apr 2022)
• Vanessa Jane Leach

  IRN VJL01012

  • Director of firm who is not a certification employee or a SMF manager (since 17 May 2022)
  • CF1 Director (AR) (26 Oct 2007 to 26 Apr 2022)

• R.S. Leach Limited (no longer appointed)

  FRN 474409 · Appointed 26 Oct 2007 · Until 27 Apr 2022

• Paul Richardson & Associates Ltd (no longer appointed)

  FRN 474106 · Appointed 22 Oct 2007 · Until 3 Apr 2017

• S.J Fisher Limited (no longer appointed)

  FRN 474135 · Appointed 22 Oct 2007 · Until 27 Apr 2022

No changes recorded yet.