PWS Financial Consulting Limited

Date authorised
1 April 2013
Companies House
00518502
Last scraped
3 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    P W S Financial Consulting Ltd
    Exchange Station
    Tithebarn Street
    Liverpool
    L2 2QP
    UNITED KINGDOM
    Phone
    +4401512274792
    Web
    https://www.pwsfc.co.uk

  • Complaints Contact

    P W S Financial Consulting Ltd
    Exchange Station
    Tithebarn Street
    Liverpool
    L2 2QP
    UNITED KINGDOM
    Phone
    +4401512274792

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

    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.

  • 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.

  • 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

  • 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

    Show 2 limitations
    • · This permission is limited to debt counselling which is provided in connection with investment advice and home finance buy to let, & consumer credit (2nd charge) mortgages.
    • · This permission is limited to debt adjusting 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
    • · 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.

  • Alan Francis Brown

    IRN AFB01053

    • CF1 Director (AR) (5 Jan 2004 to 15 Aug 2011)
  • Alan Newns

    IRN AXN00015

    • CF30 Customer (12 Aug 2009 to 22 Feb 2012)
  • Andrew James Robertson

    IRN AJR00005

    • 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 21 Mar 2016)
    • CF30 Customer (since 1 Nov 2007)
    • CF11 Money Laundering Reporting (14 Oct 2008 to 8 Dec 2019)
    • CF10 Compliance Oversight (14 Oct 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (19 Feb 2007 to 31 Mar 2009)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF1 Director (AR) (6 Apr 2004 to 29 Jan 2013)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Anthony Bayliss

    IRN AXB04178

    • CF1 Director (AR) (17 Dec 2020 to 26 Feb 2026)
  • Christopher Gerard Cunliffe

    IRN CGC00020

    • CF21 Investment Adviser (1 Dec 2001 to 10 Feb 2004)
  • Christopher James Oldfield

    IRN CJO00006

    • 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 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (16 Mar 2009 to 8 Dec 2019)
  • George Neil Wright

    IRN GNW00002

    • CF21 Investment Adviser (1 Dec 2001 to 7 Nov 2003)
    • CF1 Director (1 Dec 2001 to 6 Mar 2002)
  • Hiroko Mitomi

    IRN HXM01339

    • CF1 Director (AR) (7 Jul 2009 to 22 Feb 2012)
  • Howard Gale Northover

    IRN HGN00001

    • CF1 Director (23 Aug 2004 to 29 Nov 2005)
    • CF21 Investment Adviser (18 Dec 2003 to 22 Dec 2005)
  • Jake Lloyd

    IRN JXL00788

    • 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
    • [FCA CF] Functions requiring qualifications (since 25 Mar 2024)
    • [FCA CF] Client dealing (since 25 Mar 2024)
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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.

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