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

  Show 2 limitations Hide 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 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.

• Richard Lindsay Rotherforth

  IRN RLR01040

  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (9 Feb 2017 to 8 Dec 2019)
  • CF1 Director (22 Feb 2016 to 8 Dec 2019)
  • CF30 Customer (2 Jan 2013 to 8 Dec 2019)
• Richard William Douglas

  IRN RWD01077

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 18 Dec 2017)
  • Responsible for Insurance Mediation (6 Mar 2017 to 28 Dec 2017)
  • CF10 Compliance Oversight (29 Dec 2016 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (29 Dec 2016 to 28 Dec 2017)
  • CF1 Director (12 Feb 2016 to 8 Dec 2019)
  • CF30 Customer (24 May 2010 to 8 Dec 2019)
• Robert Anthony Jennings

  IRN RXJ00021

  • CF30 Customer (1 Nov 2007 to 31 Jul 2016)
  • CF21 Investment Adviser (22 Aug 2006 to 31 Oct 2007)
• Ronald Lloyd

  IRN RXL00031

  • CF30 Customer (1 Nov 2007 to 30 Dec 2012)
  • CF21 Investment Adviser (7 Jan 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (7 Jan 2004 to 7 Dec 2012)
  • CF1 Director (7 Jan 2004 to 31 Jan 2014)
• Ross Megretton

  IRN RXM00507

  • 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
  • [FCA CF] Client dealing (since 6 Sep 2021)
  • [FCA CF] Functions requiring qualifications (since 6 Sep 2021)
• Steven Knapton

  IRN SDK01059

  • CF30 Customer (3 Aug 2015 to 30 Nov 2018)
• Trevor Charles Brown

  IRN TCB00004

  • CF30 Customer (1 Nov 2007 to 30 Nov 2009)
  • CF21 Investment Adviser (7 Jan 2004 to 31 Oct 2007)
• William Anthony Douglas

  IRN WAD00004

  • SMF1 Chief Executive (9 Dec 2019 to 16 Aug 2021)
  • SMF3 Executive Director (9 Dec 2019 to 16 Aug 2021)
  • Responsibility for MCD Intermediation (13 Dec 2016 to 19 Jan 2017)
  • CF11 Money Laundering Reporting (12 Dec 2012 to 19 Jan 2017)
  • CF30 Customer (1 Nov 2007 to 27 Nov 2017)
  • Responsible for Insurance Mediation (14 Jan 2005 to 19 Jan 2017)
  • CF1 Director (7 Jan 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (7 Jan 2004 to 31 Oct 2007)
  • CF3 Chief Executive (7 Jan 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (7 Jan 2004 to 31 Mar 2009)
  • CF10 Compliance Oversight (7 Jan 2004 to 30 Nov 2016)

• 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.