OAKWOOD FINANCIAL SERVICES LTD

Date authorised
1 July 2015
Companies House
09158230
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    East Suite
    1st Floor Acorn House
    12 Straight Bit
    Flackwell Heath
    Buckinghamshire
    HP10 9LS
    UNITED KINGDOM
    Phone
    +4401494792737
    Web
    https://www.oakwood-fs.co.uk

  • Complaints Contact

    East Suite
    1st Floor Acorn House
    12 Straight Bit
    Flackwell Heath
    Buckinghamshire
    HP10 9LS
    UNITED KINGDOM
    Phone
    +4401494792737

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • 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

    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, Structured Deposits, 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.

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • 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, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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

    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.

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • 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

    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.

  • Credit Score Services

    Show 1 limitation
    • · This permission is limited to not carrying out credit repair services

Approved individuals

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

  • Ben Hug

    IRN BXH00257

    • 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 1 Dec 2022)
    • [FCA CF] Client dealing (since 30 Sep 2022)
  • Bhupendra Gohel

    IRN BXG00012

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2022)
  • Colin Stephen Beton

    IRN CSB00012

    • CF30 Customer (25 Apr 2016 to 7 Jun 2016)
  • Ian Davidson Whitfield

    IRN IDW01048

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 10 Jan 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 10 Jan 2024)
    • SMF3 Executive Director (9 Dec 2019 to 22 Aug 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 11 Jan 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 11 Jan 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 22 Aug 2023)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 22 Aug 2023)
    • CF1 Director (1 Jul 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Jul 2015 to 30 Sep 2018)
    • CF30 Customer (1 Jul 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jul 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2015 to 8 Dec 2019)
  • Isaac Gibbs

    IRN IXG01334

    • 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] Manager of certification employee (since 23 Aug 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Jan 2018 to 8 Dec 2019)
  • James David Mills

    IRN JXM00474

    • [FCA CF] Client dealing (9 Dec 2019 to 29 Sep 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Sep 2022)
  • John Peter Richardson

    IRN JPR00007

    • [FCA CF] Client dealing (9 Dec 2019 to 29 Sep 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Sep 2022)
    • CF30 Customer (8 Dec 2015 to 8 Dec 2019)
  • Kevin Rory Salter

    IRN KRS00007

    • [FCA CF] Client dealing (9 Dec 2019 to 29 Sep 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Sep 2022)
    • CF30 Customer (18 Apr 2016 to 8 Dec 2019)
  • Robin John Greensted Hewitt

    IRN RXH16444

    • 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
    • SMF16 Compliance Oversight (since 8 Jan 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Jan 2024)
    • SMF3 Executive Director (since 14 Jul 2023)
    • [FCA CF] Manager of certification employee (since 2 Jun 2023)
    • [FCA CF] Functions requiring qualifications (since 2 Jun 2023)
    • [FCA CF] Client dealing (since 2 Jun 2023)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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