Oakworth Financial Planning Limited

• Principal Place of Business

  Oakworth House

  45 Newgate

  Pontefract

  West Yorkshire

  WF8 1NB

  UNITED KINGDOM

  Phone

  +4401977600020

  Web

  https://www.oakworthfp.co.uk

• Complaints Contact

  Oakworth House

  45 Newgate

  Pontefract

  West Yorkshire

  WF8 1NB

  UNITED KINGDOM

  Phone

  +4401977600020

• 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

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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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Credit Brokering

• Stockbroking

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

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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 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.

• David Charles Roberts

  IRN DCR00007

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (7 Jan 2004 to 31 Oct 2007)
• Davis Geidans

  IRN DXG00548

  • [FCA CF] Functions requiring qualifications (3 Mar 2025 to 14 Nov 2025)
  • [FCA CF] Client dealing (3 Mar 2025 to 14 Nov 2025)
• Heather Dawson Hiett

  IRN HDB00003

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (12 Nov 2012 to 8 Dec 2019)
• Jack Andrew Amery

  IRN JXA20076

  • 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 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (10 Sep 2019 to 8 Dec 2019)
• John Marcus Liddle

  IRN JML01257

  • [FCA CF] Client dealing (9 Dec 2019 to 2 Dec 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Dec 2022)
  • CF30 Customer (18 Mar 2019 to 8 Dec 2019)
• Jonathan Lecomber

  IRN JXL01984

  • CF30 Customer (10 Dec 2018 to 10 Dec 2018)
• Karen Mary Clegg

  IRN KMC00007

  • CF30 Customer (1 Nov 2007 to 31 Jul 2016)
  • CF21 Investment Adviser (7 Jan 2004 to 31 Oct 2007)
• Lee Ross Gibson

  IRN LXG00302

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 13 Nov 2023)
  • [FCA CF] Functions requiring qualifications (since 13 Nov 2023)
• Peter Paul Ridley

  IRN PPR00001

  • CF30 Customer (6 May 2009 to 16 Nov 2012)
• Rachel Tunnicliffe

  IRN RXT01534

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Sep 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Sep 2022)
  • CF30 Customer (7 May 2019 to 8 Dec 2019)

• D & J Randles Financial Services (no longer appointed)

  FRN 467026 · Appointed 23 Apr 2007 · Until 17 Jan 2017

• Oakworth Insurance Services (no longer appointed)

  FRN 401722 · Appointed 31 Oct 2004 · Until 8 Dec 2009

No changes recorded yet.