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.

  • Peter Nicholas Oakes

    IRN PNO01009

    • (11)CF30 Customer (13 Aug 2008 to 6 Feb 2013)
  • Sam Pemberton

    IRN SXP01857

    • (30)[FCA CF] Functions requiring qualifications (2 Mar 2021 to 20 Mar 2026)
    • (29)[FCA CF] Client dealing (2 Mar 2021 to 20 Mar 2026)
  • Stephanie Carly Blackwell

    IRN SXB00450

    • (3)[FCA CF] Functions requiring qualifications (2 Mar 2021 to 1 Sep 2024)
    • (2)[FCA CF] Client dealing (2 Mar 2021 to 1 Sep 2024)
  • Stephen Edward Hudson

    IRN SEH01109

    • (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (4)[FCA CF] Functions requiring qualifications (since 2 Mar 2021)
    • (3)[FCA CF] Client dealing (since 2 Mar 2021)
    • (7)CF30 Customer (17 Mar 2017 to 8 Dec 2019)

Recent activity

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

  1. controlled function added: (1)CF30 Customer

  2. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds

  3. controlled function removed: [FCA CF] Functions requiring qualifications

  4. controlled function removed: [FCA CF] Functions requiring qualifications

  5. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  6. controlled function removed: Responsibility for MCD Intermediation

  7. controlled function removed: Responsible for Insurance Distribution

  8. controlled function removed: [FCA CF] Functions requiring qualifications

  9. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds

  10. controlled function removed: 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose

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