Simple Solutions Financial Management Ltd

• Principal Place of Business

  Simple Solutions Financial Management Ltd

  The Base

  Dallam Lane

  Warrington

  WA2 7NG

  UNITED KINGDOM

  Phone

  +4401925266628

  Web

  http://www.simplesolutionsfp.com

• Complaints Contact

  Simple Solutions Financial Management Ltd

  The Base

  Dallam Lane

  Warrington

  WA2 7NG

  UNITED KINGDOM

  Phone

  +4401925266628

• 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.
  • · 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 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

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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), 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

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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 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.

• Charlotte Wernham

  IRN CXW00571

  • SMF3 Executive Director (since 2 Jan 2026)
• Pamela Shields

  IRN PXS02027

  • CF1 Director (19 Jan 2010 to 3 Oct 2014)
• Richard Declan Wernham

  IRN RDW01118

  • 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)
  • Responsible for Insurance Distribution (since 17 Jul 2024)
  • SMF16 Compliance Oversight (since 17 Jul 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 17 Jul 2024)
  • SMF3 Executive Director (since 21 Oct 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (16 May 2018 to 8 Dec 2019)
• Richard Donald Wernham

  IRN DXW00142

  • SMF16 Compliance Oversight (9 Dec 2019 to 16 Oct 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Oct 2024)
  • SMF3 Executive Director (9 Dec 2019 to 2 Apr 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 Apr 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Apr 2026)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 2 Apr 2026)
  • Responsible for Insurance Distribution (1 Oct 2018 to 12 Jan 2026)
  • CF30 Customer (19 Jan 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (19 Jan 2010 to 8 Dec 2019)
  • CF1 Director (19 Jan 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (19 Jan 2010 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (19 Jan 2010 to 8 Dec 2019)
• Robert Shields

  IRN RXS01962

  • CF1 Director (19 Jan 2010 to 3 Oct 2014)
  • CF30 Customer (19 Jan 2010 to 2 Oct 2014)
• Ryan Wernham

  IRN RXW00665

  • 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 1 May 2025)
  • [FCA CF] Functions requiring qualifications (since 2 Jun 2023)
• Tracy Wernham

  IRN TXW01327

  • SMF3 Executive Director (9 Dec 2019 to 2 Feb 2026)
  • CF1 Director (19 Jan 2010 to 8 Dec 2019)

No changes recorded yet.