Roberts Mackie Winstanley

• Principal Place of Business

  Jonathan Scott Hall

  Thorpe Road

  Norwich

  Norfolk

  NR1 1UH

  UNITED KINGDOM

  Phone

  +4401603628403

  Web

  https://www.rmw-ifa.co.uk

• Complaints Contact

  Jonathan Scott Hall

  Thorpe Road

  Norwich

  Norfolk

  NR1 1UH

  UNITED KINGDOM

  Phone

  +4401603628403

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

  Show 2 limitations Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · Investment activity in rights to or interest in in investments (security) and rights to or interests in investments (contractually based investment) is limited to the other investment types granted or 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

• 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

• 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

• Alan Winstanley

  IRN AXW01339

  • CF30 Customer (1 Nov 2007 to 11 Jan 2013)
  • CF4 Partner (3 Jan 2006 to 16 Feb 2015)
  • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
• Andrew David Stratton

  IRN ADS00002

  • CF30 Customer (1 Oct 2012 to 1 Apr 2015)
• Andrew Robert Mackie

  IRN ARM00019

  • 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)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 13 Nov 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (3 Jan 2006 to 13 Nov 2018)
  • CF10 Compliance Oversight (3 Jan 2006 to 13 Nov 2018)
  • Responsible for Insurance Mediation (3 Jan 2006 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (3 Jan 2006 to 31 Mar 2009)
  • CF4 Partner (3 Jan 2006 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (3 Jan 2006 to 31 Oct 2007)
• Angus Fraser Mackie

  IRN AXM02092

  • 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 15 Jun 2023)
  • [FCA CF] Functions requiring qualifications (since 15 Jun 2023)
• Cy Joyner

  IRN CXJ01126

  • 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 (23 Feb 2015 to 8 Dec 2019)
• Iain Charles Mackie

  IRN ICM01048

  • 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
  • SMF27 Partner (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 27 Nov 2018)
  • CF10 Compliance Oversight (27 Nov 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (27 Nov 2018 to 8 Dec 2019)
  • CF4 Partner (1 Mar 2014 to 8 Dec 2019)
  • CF30 Customer (31 May 2013 to 8 Dec 2019)
• Lisa Jane Tuck

  IRN LJH00046

  • CF30 Customer (1 Nov 2007 to 19 Jul 2013)
  • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (3 Jan 2006 to 31 Oct 2007)
• Simon Paul Hands

  IRN SPH01096

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Dec 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Dec 2020)
  • CF30 Customer (27 Mar 2019 to 8 Dec 2019)

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