Oculus Wealth Management Limited

Date authorised
2 January 2014
Companies House
08589641
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Oculus Wealth Management Ltd
    2 Grove Park Court
    Harrogate
    North Yorkshire
    HG1 4DP
    UNITED KINGDOM
    Phone
    +4401423369362
    Web
    https://www.oculuswealth.co.uk

  • Complaints Contact

    Oculus Wealth Management Ltd
    2 Grove Park Court
    Harrogate
    North Yorkshire
    HG1 4DP
    UNITED KINGDOM
    Phone
    +4401423369362

What this firm is allowed to do

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

  • P2P Lending Advice

    For 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
    • · 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.

  • Equity Release Advice

    For Customer, Home reversion plans

  • 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.

  • Equity Release Arranging

    For Customer, Home reversion plans

  • 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
    • · 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

  • 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”.

  • Equity Release Setup

    For Customer, Home reversion plans

  • 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.

  • 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.

  • Phil Harris

    IRN PJH01393

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 22 Jan 2024)
    • [FCA CF] Functions requiring qualifications (since 22 Jan 2024)
    • [FCA CF] Client dealing (since 22 Jan 2024)
    • CF30 Customer (since 5 Dec 2023)
    • CF1 Director (AR) (since 5 Dec 2023)
  • Philip Oaten

    IRN PXO00007

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • CF1 Director (AR) (since 4 Jun 2020)
    • Appointed representative dealing with clients for which they require qualification (since 4 Jun 2020)
    • [FCA CF] Functions requiring qualifications (since 4 Jun 2020)
    • CF30 Customer (since 4 Jun 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
  • Philip Simon Warren

    IRN PSW00011

    • [FCA CF] Manager of certification employee (19 Jul 2024 to 20 Nov 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Nov 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 13 Nov 2025)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 13 Nov 2025)
    • CF30 Customer (16 Jan 2019 to 13 Nov 2025)
    • CF1 Director (AR) (16 Jan 2019 to 13 Nov 2025)
  • Phillip Ashley Wood

    IRN PAW01142

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 20 Aug 2019)
    • CF30 Customer (since 20 Aug 2019)
  • Richard David Jones

    IRN RDJ01029

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 2 Oct 2014)
    • CF30 Customer (since 19 Aug 2014)
  • Richard Iain Grant

    IRN RIG01007

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 28 May 2024)
    • Appointed representative dealing with clients for which they require qualification (since 28 May 2024)
    • [FCA CF] Client dealing (since 28 May 2024)
    • CF1 Director (AR) (since 20 May 2024)
    • CF30 Customer (since 20 May 2024)
  • Robert James Waterfall

    IRN RJW00009

    • Appointed representative dealing with clients for which they require qualification (22 Sep 2020 to 28 May 2025)
    • CF1 Director (AR) (22 Sep 2020 to 9 Jul 2025)
    • CF30 Customer (22 Sep 2020 to 9 Jul 2025)
    • [FCA CF] Functions requiring qualifications (22 Sep 2020 to 28 May 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 28 May 2025)
  • Ruairi Calum Connery

    IRN RCC01107

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • CF30 Customer (since 28 Apr 2023)
    • Appointed representative dealing with clients for which they require qualification (since 28 Apr 2023)
    • CF1 Director (AR) (since 28 Apr 2023)
    • [FCA CF] Client dealing (since 28 Apr 2023)
    • [FCA CF] Functions requiring qualifications (since 28 Apr 2023)
  • Rupert Edward Hugh Stevenson

    IRN RES01085

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 30 Jul 2025)
    • [FCA CF] Client dealing (since 30 Jul 2025)
    • [FCA CF] Functions requiring qualifications (since 30 Jul 2025)
    • CF1 Director (AR) (since 3 Jul 2025)
    • CF30 Customer (since 3 Jul 2025)
  • Samuel John Cowan

    IRN SJC01479

    • CF30 Customer (since 1 Mar 2026)
    • CF1 Director (AR) (since 1 Mar 2026)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

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

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