Phoenix Wealth Management Ltd.

• Principal Place of Business

  Phoenix Wealth Management Ltd

  6 Meadow Court

  High Street

  Witney

  Oxfordshire

  OX28 6ER

  UNITED KINGDOM

  Phone

  +441993229904

  Web

  https://www.phoenix-wm.co.uk

• Complaints Contact

  Phoenix Wealth Management Ltd

  6 Meadow Court

  High Street

  Witney

  Oxfordshire

  OX28 6ER

  UNITED KINGDOM

  Phone

  +441993229904

• 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · 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

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  • · 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

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• Debt Advice

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  • · 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, 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.

• Alistair Richard Wolfe

  IRN ARW01211

  • CF30 Customer (8 Oct 2009 to 1 Dec 2009)
• Andrew David Shaw

  IRN ADS00009

  • CF1 Director (AR) (since 1 Apr 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Feb 2020)
  • SMF16 Compliance Oversight (since 6 Feb 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (7 Nov 2019 to 8 Dec 2019)
• Andrew Setterfield

  IRN AXS00191

  • [FCA CF] Client dealing (24 May 2022 to 30 Sep 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2025)
  • CF30 Customer (25 Sep 2017 to 8 Dec 2019)
• Ashish Amar Praful Shah

  IRN AXS05092

  • [FCA CF] Functions requiring qualifications (3 Mar 2025 to 27 Feb 2026)
• Barry Wood

  IRN BXW00002

  • CF30 Customer (1 Nov 2007 to 14 Jul 2009)
  • CF21 Investment Adviser (10 Jan 2005 to 31 Oct 2007)
• Brendan O'Ciobhain

  IRN BXO00003

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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
  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • CF1 Director (AR) (since 17 Mar 2025)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (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 21 Mar 2016)
  • [FCA CF] Significant management (9 Dec 2019 to 24 May 2022)
  • CF11 Money Laundering Reporting (28 Jul 2009 to 13 Nov 2019)
  • Responsible for Insurance Mediation (28 Jul 2009 to 30 Sep 2018)
  • CF10 Compliance Oversight (28 Jul 2009 to 13 Nov 2019)
  • CF1 Director (28 Jul 2009 to 8 Dec 2019)
  • CF30 Customer (22 Jul 2009 to 8 Dec 2019)
• Christopher Adrian Slatter

  IRN CAS00039

  • CF30 Customer (1 Nov 2007 to 29 Oct 2010)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 28 Jul 2009)
• Clara Jenkins

  IRN CXM00050

  • [FCA CF] Client dealing (24 May 2022 to 12 Apr 2023)
  • [FCA CF] Functions requiring qualifications (12 Oct 2020 to 12 Apr 2023)
• Harry Norton

  IRN HXN00128

  • 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
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2025)
• Ian Kemp

  IRN IXK00024

  • CF1 Director (AR) (17 Mar 2025 to 16 Feb 2026)
  • Appointed representative dealing with clients for which they require qualification (11 Dec 2019 to 19 Feb 2026)

• Phoenix Mortgages Ltd (no longer appointed)

  FRN 783120 · Appointed 1 Jul 2017 · Until 19 Feb 2026

No changes recorded yet.