Roxborough Wealth Management Limited

Date authorised
1 April 2013
Companies House
05803582
Last scraped
1 day ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1st Floor
    11a High Street
    Cobham
    Surrey
    KT11 3DH
    UNITED KINGDOM
    Phone
    +441932825233
    Web
    https://www.roxborough.uk.com

  • Complaints Contact

    1st Floor
    11a High Street
    Cobham
    Surrey
    KT11 3DH
    UNITED KINGDOM
    Phone
    +441932825233

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, Retail (Non-Investment Insurance), Retail (Investment)

  • Pension Transfer Advice

    For Retail (Investment), Life Policy, Stakeholder pension scheme, Unit, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Personal pension scheme

    Show 2 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 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, Retail (Non-Investment Insurance), Retail (Investment), Structured Deposits, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Stakeholder pension scheme, Warrant, Certificates representing certain security, Personal pension scheme

    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, Retail (Non-Investment Insurance), Retail (Investment), Structured Deposits, Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Warrant, Non-investment insurance contracts, Unit, Personal pension scheme

    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

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt adjusting with no debt management activity

  • Mortgage Setup

    For Customer, Regulated mortgage contract

  • Investment Setup

    For Commercial, Retail (Non-Investment Insurance), Retail (Investment), Structured Deposits, Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant, Personal pension scheme

    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.

  • Adam Sparks

    IRN AGS01130

    • (13)CF30 Customer (1 Nov 2007 to 31 Oct 2008)
    • (14)CF21 Investment Adviser (20 Sep 2007 to 31 Oct 2007)
  • Andrew Paul Hudson

    IRN AXH00343

    • (5)20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • (7)[FCA CF] Functions requiring qualifications (since 22 Oct 2024)
    • (6)[FCA CF] Client dealing (since 22 Oct 2024)
    • (32)[FCA CF] Functions requiring qualifications (2 Mar 2021 to 1 Sep 2024)
    • (31)[FCA CF] Client dealing (2 Mar 2021 to 1 Sep 2024)
  • Christian Dominic Thompson

    IRN CDT00006

    • (16)[FCA CF] Functions requiring qualifications (2 May 2023 to 20 Mar 2026)
    • (15)[FCA CF] Client dealing (2 May 2023 to 20 Mar 2026)
  • Christian Paul Soden

    IRN CPS01032

    • (12)CF30 Customer (15 Feb 2013 to 23 Apr 2014)
  • Darryl Ian Barr

    IRN DIB01022

    • (8)CF30 Customer (1 Nov 2007 to 18 Dec 2007)
    • (9)CF24 Pension Transfer Specialist (22 Dec 2006 to 31 Oct 2007)
    • (10)CF21 Investment Adviser (22 Dec 2006 to 31 Oct 2007)
  • Gillian Yates

    IRN GXY00008

    • (18)[FCA CF] Functions requiring qualifications (26 Aug 2023 to 24 Jun 2024)
    • (17)[FCA CF] Client dealing (26 Aug 2023 to 24 Jun 2024)
  • Jay Chetan Valand

    IRN JXV00042

    • (4)[FCA CF] Client dealing (2 Mar 2021 to 1 Sep 2024)
    • (5)[FCA CF] Functions requiring qualifications (2 Mar 2021 to 1 Sep 2024)
  • Mark John Taylor

    IRN MJT01080

    • (6)CF30 Customer (15 Nov 2017 to 26 Jul 2018)
  • Michelle Lynn Singlehurst

    IRN MLS00003

    • (1)CF30 Customer (12 Feb 2010 to 6 Dec 2011)
  • Paul Eric Hudson

    IRN PEH00011

    • (9)4. Giving personal recommendations on retail investment products which are not broker funds
    • (8)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (16)[FCA CF] Manager of certification employee (since 23 Jul 2025)
    • (17)[FCA CF] Functions requiring qualifications (since 23 Jul 2025)
    • (15)[FCA CF] Client dealing (since 23 Jul 2025)
    • (12)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (14)SMF3 Executive Director (since 9 Dec 2019)
    • (13)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (11)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (10)Responsibility for MCD Intermediation (since 21 Mar 2016)
    • (25)[FCA CF] Client dealing (8 Mar 2021 to 3 Aug 2022)
    • (28)[FCA CF] Functions requiring qualifications (8 Mar 2021 to 3 Aug 2022)
    • (26)[FCA CF] Manager of certification employee (8 Mar 2021 to 3 Aug 2022)
    • (20)CF30 Customer (5 Sep 2013 to 8 Dec 2019)
    • (27)CF1 Director (22 Dec 2006 to 8 Dec 2019)
    • (23)CF10 Compliance Oversight (22 Dec 2006 to 8 Dec 2019)
    • (19)Responsible for Insurance Mediation (22 Dec 2006 to 30 Sep 2018)
    • (21)CF21 Investment Adviser (22 Dec 2006 to 28 Dec 2006)
    • (22)CF11 Money Laundering Reporting (22 Dec 2006 to 8 Dec 2019)
    • (24)CF8 Apportionment and Oversight (22 Dec 2006 to 31 Mar 2009)
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Recent activity

Updates to this firm's record on the FCA register.

  1. permission removed: CBTL Effective Date

  2. permission removed: CBTL Status

  3. controlled function added: (17)[FCA CF] Functions requiring qualifications

  4. controlled function added: (16)[FCA CF] Manager of certification employee

  5. controlled function added: (15)[FCA CF] Client dealing

  6. controlled function added: (14)SMF3 Executive Director

  7. controlled function added: (13)SMF16 Compliance Oversight

  8. controlled function added: (12)SMF17 Money Laundering Reporting Officer (MLRO)

  9. controlled function added: (11)Responsible for Insurance Distribution

  10. controlled function added: (10)Responsibility for MCD Intermediation

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