Simpson Wood (Financial Services) Limited

• Principal Place of Business

  Bank Chambers

  Market Street

  Huddersfield

  West Yorkshire

  HD1 2EW

  UNITED KINGDOM

  Phone

  +4401484534431

  Web

  https://simpson-wood.co.uk

• Complaints Contact

  Bank Chambers

  Market Street

  Huddersfield

  West Yorkshire

  HD1 2EW

  UNITED KINGDOM

  Phone

  +4401484534431

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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

  For Professional, Retail (Investment)

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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.

• Adam Piplica

  IRN AXP00667

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 8 Aug 2022)
  • [FCA CF] Functions requiring qualifications (since 8 Aug 2022)
• Alex Jake Smith

  IRN AXS05313

  • [FCA CF] Client dealing (since 4 Jul 2025)
• Alexandra Leigh Varley

  IRN AXV00226

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 17 Jun 2024)
  • [FCA CF] Manager of certification employee (since 17 Jun 2024)
  • [FCA CF] Functions requiring qualifications (since 17 Jun 2024)
• Craig Matthew Stratford

  IRN CMS01181

  • SMF3 Executive Director (9 Dec 2019 to 29 Jan 2024)
  • CF1 Director (25 Oct 2010 to 8 Dec 2019)
• Daniel James McAllister

  IRN DJM01600

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Dec 2011 to 8 Dec 2019)
• Davis Geidans

  IRN DXG00548

  • 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 27 Nov 2025)
  • [FCA CF] Functions requiring qualifications (since 27 Nov 2025)
  • [FCA CF] Client dealing (17 Jun 2024 to 28 Feb 2025)
  • [FCA CF] Functions requiring qualifications (17 Jun 2024 to 28 Feb 2025)
• Edward Marcus George Russell

  IRN EXR00220

  • Director of firm who is not a certification employee or a SMF manager (since 10 Jun 2024)
• George Smith

  IRN GXS00138

  • [FCA CF] Functions requiring qualifications (1 Apr 2020 to 1 Oct 2025)
  • [FCA CF] Client dealing (1 Apr 2020 to 1 Oct 2025)
• Giles David Thomas Cliffe

  IRN GDC01089

  • CF1 Director (1 Dec 2011 to 31 Oct 2014)
• Helen Charlotte Alkelda Hartley

  IRN HXH00280

  • [FCA CF] Client dealing (17 Jun 2024 to 1 Oct 2024)
  • [FCA CF] Functions requiring qualifications (17 Jun 2024 to 1 Oct 2024)

No changes recorded yet.