PWS Financial Consulting Limited

Date authorised
1 April 2013
Companies House
00518502
Last scraped
3 weeks ago
Watch for changes

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.

  • Matthew Eric Webb

    IRN MEW00004

    • 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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (10 Apr 2019 to 8 Dec 2019)
  • Mohit Kumar Saini

    IRN MKS00006

    • 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
    • CF1 Director (AR) (since 10 Feb 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (AR) (1 Jun 2009 to 29 Jan 2013)
    • CF1 Director (5 Dec 2008 to 8 Dec 2019)
    • CF21 Investment Adviser (28 Jul 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (11 Jul 2003 to 28 Jul 2003)
  • Nicholas Grogan

    IRN NXG01483

    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (since 25 Aug 2016)
  • Paul George Bocking

    IRN PGB00032

    • CF24 Pension Transfer Specialist (26 Sep 2002 to 27 Feb 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 27 Feb 2004)
  • Paul John Maguire

    IRN PJM01462

    • CF1 Director (AR) (7 May 2010 to 26 Feb 2019)
  • Peter Edward Chapman

    IRN PEC00005

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (AR) (7 May 2010 to 12 Jan 2022)
    • CF1 Director (1 Dec 2001 to 22 Jan 2008)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 14 Feb 2007)
  • Peter German

    IRN PXG00134

    • CF30 Customer (1 Nov 2007 to 9 Jun 2014)
    • CF24 Pension Transfer Specialist (26 Jan 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (10 Mar 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (20 Apr 2004 to 10 Mar 2006)
  • Priscilla Ann Milford

    IRN PAM00012

    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (12 Oct 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (29 Dec 2004 to 12 Oct 2005)
  • Richard Hugh Burnett

    IRN RXB00094

    • CF1 Director (AR) (since 11 Nov 2020)
  • Richard William James Brown

    IRN RWB01096

    • CF1 Director (AR) (3 Jun 2009 to 21 Feb 2012)
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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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