ROBERT GERRARD & WESTBROOK LIMITED

• Principal Place of Business

  Robert Gerrard & Westbrook Ltd

  51 Yarmouth Road

  Norwich

  Norfolk

  NR7 0ET

  UNITED KINGDOM

  Phone

  +4401603499250

  Web

  https://www.rgwifa.co.uk

• Complaints Contact

  Robert Gerrard & Westbrook Ltd

  51 Yarmouth Road

  Norwich

  Norfolk

  NR7 0ET

  UNITED KINGDOM

  Phone

  +4401603499250

• P2P Lending Advice

  For Professional, Retail (Investment)

• 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), 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

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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.

• 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), 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

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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.

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

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

• Antony Peter Howard

  IRN APH00035

  • [FCA CF] Manager of certification employee (13 Sep 2021 to 19 Jan 2026)
  • SMF16 Compliance Oversight (9 Dec 2019 to 14 Apr 2025)
  • SMF3 Executive Director (9 Dec 2019 to 30 Jan 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 19 Jan 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Jan 2026)
  • CF1 Director (5 Aug 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (5 Aug 2014 to 8 Dec 2019)
  • CF30 Customer (5 Aug 2014 to 8 Dec 2019)
• Christopher Macey

  IRN CJM00079

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Apr 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Apr 2023)
  • CF30 Customer (4 Sep 2014 to 8 Dec 2019)
• Christopher Stimpson

  IRN CXS80123

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 21 Feb 2022)
• Clive Reginald Herbert Cowell

  IRN CRC00014

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (3 Dec 2002 to 31 Oct 2007)
• Daniel Peter Appleton

  IRN DPA01026

  • [FCA CF] Client dealing (16 Dec 2020 to 19 Jan 2026)
  • [FCA CF] Functions requiring qualifications (16 Dec 2020 to 19 Jan 2026)
  • CF30 Customer (1 Sep 2016 to 27 Sep 2018)
• David Stuart Taylor

  IRN DXT00224

  • [FCA CF] Manager of certification employee (21 Feb 2022 to 19 Jan 2026)
• David Welsh

  IRN DAW00073

  • 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)
  • SMF16 Compliance Oversight (since 9 Apr 2025)
  • Responsible for Insurance Distribution (since 9 Apr 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF30 Customer (11 Aug 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (11 Aug 2014 to 8 Dec 2019)
  • CF1 Director (11 Aug 2014 to 8 Dec 2019)
• Debra Crossley

  IRN DLH01061

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Sep 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Sep 2025)
  • CF30 Customer (19 Sep 2014 to 8 Dec 2019)
• Duncan Pluck

  IRN DCP01073

  • [FCA CF] Client dealing (9 Dec 2019 to 19 Jan 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Jan 2026)
  • CF30 Customer (26 Oct 2015 to 8 Dec 2019)
• Graham Victor White

  IRN GVW00003

  • CF30 Customer (1 Nov 2007 to 28 Dec 2007)
  • CF21 Investment Adviser (12 Jun 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 12 Jun 2007)

No changes recorded yet.