Oak Private Wealth Ltd

• Principal Place of Business

  1 King William Street

  London

  EC4N 7AF

  UNITED KINGDOM

  Phone

  +442071291272

  Web

  https://www.oakprivatewealth.com

• Complaints Contact

  1 King William Street

  London

  EC4N 7AF

  UNITED KINGDOM

  Phone

  +447740621098

• Pension Transfer Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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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  • · 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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• 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

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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.

• 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

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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.

• 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

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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.

• Alexander James Oattes

  IRN AXO00192

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 16 Feb 2026)
  • [FCA CF] Client dealing (since 16 Feb 2026)
• David Robert Allen

  IRN DXA00291

  • [FCA CF] Client dealing (8 Jun 2022 to 29 Nov 2022)
  • [FCA CF] Functions requiring qualifications (8 Jun 2022 to 29 Nov 2022)
• James Matthew Parker

  IRN JMP00009

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 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
  • Responsible for Insurance Distribution (since 30 Jun 2022)
  • SMF16 Compliance Oversight (since 30 Jun 2022)
  • SMF3 Executive Director (since 30 Jun 2022)
  • [FCA CF] Client dealing (since 30 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 30 Jun 2022)
• Tamsin Caronwen Parker

  IRN TCP01037

  • SMF3 Executive Director (since 30 Jun 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jun 2022)
• sami Beck

  IRN SXB01021

  • 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)
  • [FCA CF] Client dealing (since 9 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Jan 2023)

No changes recorded yet.