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.

• Joseph Caleb Edward Fielding

  IRN JXF00567

  • [FCA CF] Client dealing (1 Dec 2023 to 31 May 2024)
  • [FCA CF] Functions requiring qualifications (1 Dec 2023 to 31 May 2024)
• Joshua Lucas Rutherford

  IRN JXR00573

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 7 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 7 Jul 2022)
• Mark Fielding

  IRN MXF01318

  • SMF3 Executive Director (9 Dec 2019 to 1 Oct 2025)
  • CF1 Director (15 May 2003 to 8 Dec 2019)
• Michael John Nicholas

  IRN MJN01062

  • CF1 Director (15 May 2003 to 23 Mar 2017)
• Mohammed Shabab Gulfraz

  IRN MSG01085

  • 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 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (4 Oct 2019 to 8 Dec 2019)
• Neil Roy Duthie

  IRN NRD00003

  • Responsible for Insurance Distribution (1 Oct 2018 to 26 Apr 2019)
  • CF30 Customer (1 Nov 2007 to 26 Apr 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (15 May 2003 to 31 Oct 2007)
  • CF3 Chief Executive (15 May 2003 to 26 Apr 2019)
  • CF8 Apportionment and Oversight (15 May 2003 to 31 Mar 2009)
  • CF21 Investment Adviser (15 May 2003 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (15 May 2003 to 26 Apr 2019)
  • CF10 Compliance Oversight (15 May 2003 to 26 Apr 2019)
  • CF1 Director (15 May 2003 to 26 Apr 2019)
• Paul Andrew Whitehead

  IRN PAW01247

  • 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 22 Aug 2025)
  • [FCA CF] Functions requiring qualifications (since 22 Aug 2025)
• Paul Carson

  IRN PXC01901

  • CF1 Director (1 Oct 2010 to 12 Apr 2019)
• Peter Sykes

  IRN PXS01480

  • CF30 Customer (1 Nov 2007 to 30 Sep 2010)
  • CF21 Investment Adviser (15 May 2003 to 31 Oct 2007)
  • CF1 Director (15 May 2003 to 30 Sep 2010)
• Richard Charles McCarthy

  IRN RCM01122

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Aug 2013 to 8 Dec 2019)

No changes recorded yet.