Paul Williams Financial Services Ltd

Date authorised
1 April 2013
Companies House
07652053
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Unit 11
    Enterprise Centre, Bryn Road
    Tondu
    Bridgend
    Mid Glamorgan
    CF32 9BS
    UNITED KINGDOM
    Phone
    +4401656728300

  • Complaints Contact

    Unit 11
    Enterprise Centre, Bryn Road
    Tondu
    Bridgend
    Mid Glamorgan
    CF32 9BS
    UNITED KINGDOM
    Phone
    +4401656728300

What this firm is allowed to do

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

  • P2P Lending Advice

    For Professional, Retail (Investment), Retail (Non-Investment Insurance)

  • Investment Advice (no pensions)

    For 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 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

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For 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.

Approved individuals

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

  • Paul Graham Williams

    IRN PGW00029

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • 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)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 25 Apr 2016)
    • CF1 Director (3 Oct 2011 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Oct 2011 to 8 Dec 2019)
    • CF30 Customer (3 Oct 2011 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Oct 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Oct 2011 to 30 Sep 2018)

Recent activity

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

No changes recorded yet.