Simpson Wood (Financial Services) Limited

Date authorised
1 April 2013
Companies House
04689415
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 2 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.
    • · 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

    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.

  • Authorised to Operate

    For Professional, Retail (Investment)

    Show 1 limitation
    • · 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

    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.

  • 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
    • · 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.

  • Roger Anthony Ray

    IRN RAR00001

    • CF30 Customer (3 Aug 2015 to 31 Mar 2018)
  • Shaun David Wood

    IRN SDW01094

    • 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 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 11 Jul 2019)
    • CF10 Compliance Oversight (11 Jul 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jul 2019 to 8 Dec 2019)
    • CF3 Chief Executive (11 Jul 2019 to 8 Dec 2019)
    • CF1 Director (11 Apr 2017 to 8 Dec 2019)
    • CF30 Customer (11 Mar 2015 to 8 Dec 2019)
  • Sian Wood

    IRN SXW00180

    • [FCA CF] Manager of certification employee (since 14 Dec 2020)
  • Simon James Mayoh

    IRN SJM01623

    • CF30 Customer (1 Nov 2017 to 8 Dec 2019)
  • Thomas Johnson

    IRN TXJ00033

    • SMF3 Executive Director (9 Jul 2024 to 1 Oct 2025)
    • [FCA CF] Functions requiring qualifications (1 Apr 2020 to 1 Oct 2025)
    • [FCA CF] Client dealing (1 Apr 2020 to 1 Oct 2025)

Recent activity

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

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