Rutland Independent Wealth Management LLP

• Principal Place of Business

  Rutland Independent Wealth Management Llp

  Dryburgh House

  Meikle Road

  Livingston

  West Lothian

  EH54 7DE

  UNITED KINGDOM

  Phone

  +441506424150

  Web

  https://www.rutlandindependent.co.uk

• Complaints Contact

  Rutland Independent Wealth Management Llp

  Dryburgh House

  Meikle Road

  Livingston

  West Lothian

  EH54 7DE

  UNITED KINGDOM

  Phone

  +441506424150

• Pension Transfer Advice

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

  Show 2 limitations Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, Underwriting capacity of a Lloyd's syndicate, Unit

  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.

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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 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.

• Christopher Robert Buyers

  IRN CRB01107

  • 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 27 Apr 2026)
  • SMF27 Partner (since 9 Jan 2023)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • CF30 Customer (20 Jul 2015 to 8 Dec 2019)
• Craig William Dougan

  IRN CWD01035

  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • CF30 Customer (20 Jul 2015 to 8 Dec 2019)
• David Henderson

  IRN DXH00911

  • 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)
  • [FCA CF] Client dealing (since 10 Apr 2025)
  • [FCA CF] Functions requiring qualifications (since 10 Apr 2025)
• Michael Ritchie Wilson

  IRN MRW00040

  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • [FCA CF] Manager of certification employee (3 Sep 2021 to 1 Jun 2023)
  • SMF16 Compliance Oversight (21 Feb 2020 to 10 Jan 2023)
  • SMF27 Partner (9 Dec 2019 to 31 Mar 2023)
  • CF4 Partner (20 Jul 2015 to 8 Dec 2019)
  • CF30 Customer (20 Jul 2015 to 8 Dec 2019)
• Stephen Murray Wilson

  IRN SMW01197

  • 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] Manager of certification employee (since 1 Apr 2023)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF27 Partner (9 Jan 2023 to 13 Mar 2026)
  • SMF16 Compliance Oversight (9 Jan 2023 to 13 Mar 2026)
• William Crookston

  IRN WXC00039

  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • SMF16 Compliance Oversight (9 Dec 2019 to 9 Dec 2021)
  • CF10 Compliance Oversight (20 Jul 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (20 Jul 2015 to 8 Dec 2019)
  • CF30 Customer (20 Jul 2015 to 8 Dec 2019)
  • CF4 Partner (20 Jul 2015 to 8 Dec 2019)
  • Responsible for Insurance Mediation (20 Jul 2015 to 30 Sep 2018)

No changes recorded yet.