Oakwood Asset Management LLP

• Principal Place of Business

  Second Floor

  5 Rayleigh Road

  Hutton

  Brentwood

  Essex

  CM13 1AB

  UNITED KINGDOM

  Phone

  +4403454594025

  Web

  https://www.oakwoodassetmanagement.co.uk

• Complaints Contact

  Second Floor

  5 Rayleigh Road

  Hutton

  Brentwood

  Essex

  CM13 1AB

  UNITED KINGDOM

  Phone

  +4403454594025

• P2P Lending Advice

  For Commercial, 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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  • · 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.

• 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, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• 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.

• Basic Pension Advice

  For Retail (Investment), Stakeholder products

• . Oakwood Wealth Management Ltd

  IRN XXO01036

  • SMF27 Partner (9 Dec 2019 to 4 Aug 2025)
  • CF4 Partner (29 Jan 2009 to 8 Dec 2019)
• Alex Longthorpe

  IRN AXL00771

  • 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] Functions requiring qualifications (since 31 Mar 2025)
  • [FCA CF] Client dealing (since 31 Mar 2025)
• Anne Molyneux

  IRN AXM01573

  • 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] Functions requiring qualifications (since 1 Mar 2022)
  • [FCA CF] Client dealing (since 1 Mar 2022)
  • CF30 Customer (since 1 Mar 2021)
• Claire Anne Heritage

  IRN CAH01129

  • 11. Pension transfer specialist
  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF1 Director (AR) (30 Jan 2009 to 18 Jun 2025)
  • CF4 Partner (29 Jan 2009 to 8 Dec 2019)
  • CF30 Customer (29 Jan 2009 to 18 Jun 2025)
• David Alexander Gifford

  IRN DAG01169

  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF1 Director (AR) (30 Jan 2009 to 18 Jun 2025)
  • CF30 Customer (29 Jan 2009 to 18 Jun 2025)
  • CF11 Money Laundering Reporting (29 Jan 2009 to 8 Dec 2019)
  • Responsible for Insurance Mediation (29 Jan 2009 to 30 Sep 2018)
  • CF10 Compliance Oversight (29 Jan 2009 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (29 Jan 2009 to 31 Mar 2009)
  • CF4 Partner (29 Jan 2009 to 8 Dec 2019)
• David Frederick Taine

  IRN DFT01011

  • 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
  • 11. Pension transfer specialist
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (9 Sep 2009 to 18 Jun 2025)
• Jane Pamela Cole

  IRN JPC01147

  • 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 1 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 1 Nov 2022)
• Karen Lesley Miles

  IRN KXM01293

  • 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)
  • 11. Pension transfer specialist
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (AR) (30 Jan 2009 to 18 Jun 2025)
  • CF30 Customer (29 Jan 2009 to 18 Jun 2025)
  • CF4 Partner (29 Jan 2009 to 8 Dec 2019)
• Nathan Charles Adam

  IRN NXA00116

  • [FCA CF] Client dealing (1 Jan 2021 to 17 Oct 2022)
  • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 17 Oct 2022)
• Nicholas Alan Bridges

  IRN NXB00400

  • 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] Functions requiring qualifications (since 1 Nov 2022)
  • [FCA CF] Client dealing (since 1 Nov 2022)

• Websters Financial Planning Ltd (no longer appointed)

  FRN 495814 · Appointed 30 Jan 2009 · Until 19 Sep 2025

No changes recorded yet.