OCM WEALTH MANAGEMENT LIMITED

Date authorised
1 April 2013
Companies House
05039809
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    5 Old Bedford Road
    Northampton
    NN4 7AA
    UNITED KINGDOM
    Phone
    +441604621467
    Web
    https://www.ocmwealthmanagement.co.uk

  • Complaints Contact

    5 Old Bedford Road
    Northampton
    NN4 7AA
    UNITED KINGDOM
    Phone
    +441604621467

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 Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

    Show 2 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.
    • · 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, 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, 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
    • · 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

  • Arranges Asset Safekeeping

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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
    • · 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 Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Stockbroking

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management activity

  • 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, 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.

  • Manages Your Portfolio

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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
    • · 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.

  • Holds Your Assets

    For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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
    • · 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.

Approved individuals

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

  • Colin Davis

    IRN CWD00005

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 2 Jul 2024)
    • CF1 Director (AR) (since 16 May 2024)
    • CF30 Customer (since 16 May 2024)
  • Daniel Peter Payne

    IRN DPP01040

    • CF30 Customer (13 Jul 2017 to 8 Dec 2019)
  • David Ian Wardle

    IRN DXW00466

    • [FCA CF] Functions requiring qualifications (1 Apr 2022 to 21 Feb 2023)
    • [FCA CF] Client dealing (1 Apr 2022 to 21 Feb 2023)
  • Frances Anne Noons

    IRN FAN01003

    • 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 1 Jan 2023)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 1 Aug 2022)
    • [FCA CF] Client dealing (9 Dec 2020 to 1 Aug 2022)
    • CF30 Customer (10 Sep 2013 to 8 Dec 2019)
  • Gemma Nadine Maxwell-Evans

    IRN GXM00336

    • [FCA CF] Manager of certification employee (23 Jun 2021 to 14 Oct 2022)
  • Georgina Stone

    IRN GXS02496

    • 14. Managing investments
    • 16. Safeguarding and administering investments or holding client money
    • 17. Administrative functions in relation to managing investments
    • [FCA CF] Material risk taker (since 19 Aug 2021)
    • [FCA CF] Manager of certification employee (since 19 Aug 2021)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • CF30 Customer (7 Dec 2018 to 8 Dec 2019)
  • Harry Jacob Underwood

    IRN HXU00009

    • [FCA CF] Functions requiring qualifications (1 Apr 2022 to 8 Mar 2024)
    • [FCA CF] Client dealing (1 Apr 2022 to 8 Mar 2024)
  • Henry Sherwood Dale Metcalf

    IRN HXM01338

    • CF30 Customer (11 Oct 2013 to 13 Oct 2014)
  • India Kathryn Constance Riley

    IRN IKF01002

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • CF30 Customer (since 19 Dec 2025)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • CF30 Customer (19 Jan 2018 to 8 Dec 2019)
  • James Rhys Pulham

    IRN JRP01207

    • CF30 Customer (13 Jul 2017 to 31 Aug 2018)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.