STONEHAGE FLEMING WEALTH PLANNING LIMITED

• Principal Place of Business

  6 St. James's Square

  London

  SW1Y 4JU

  UNITED KINGDOM

  Phone

  +442070870000

  Web

  https://www.stonehagefleming.com

• Complaints Contact

  6 St. James's Square

  London

  SW1Y 4JU

  UNITED KINGDOM

  Phone

  +442070870000

• 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.

• 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.

• Credit Brokering

• 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

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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.

• Harriet Clare Graham

  IRN HCG01018

  • 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 (26 Oct 2015 to 8 Dec 2019)
• Ines Dawson

  IRN IXD00099

  • [FCA CF] Client dealing (2 May 2023 to 12 Jun 2023)
• James Hoare

  IRN JXH00631

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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] Functions requiring qualifications (since 7 Feb 2023)
  • [FCA CF] Client dealing (since 7 Feb 2023)
• Jason Ridley

  IRN JXR00516

  • 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 31 Oct 2022)
  • [FCA CF] Client dealing (since 28 Feb 2022)
• Joanne Anderson

  IRN JXF00114

  • CF11 Money Laundering Reporting (2 Apr 2012 to 28 Jan 2015)
• Julian Vydelingum

  IRN JXV01212

  • [FCA CF] Client dealing (9 Dec 2019 to 16 Sep 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Sep 2022)
  • CF30 Customer (13 Feb 2019 to 8 Dec 2019)
• Kate Boswell

  IRN KXB01799

  • [FCA CF] Manager of certification employee (2 May 2023 to 12 Jun 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 12 Jun 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Jun 2023)
  • CF30 Customer (8 Jan 2019 to 8 Dec 2019)
• Katharine Diana Munday

  IRN KDM01011

  • [FCA CF] Significant management (1 Feb 2021 to 1 Aug 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Aug 2022)
• Katie Angela Mundell

  IRN KAM01207

  • SMF16 Compliance Oversight (since 24 May 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 May 2021)
• Ketan Patel

  IRN KXP01499

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Sep 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 21 Sep 2020)
  • CF30 Customer (13 Jun 2018 to 8 Dec 2019)

• FF&P Wealth Planning LLP (no longer appointed)

  FRN 432261 · Appointed 3 May 2012 · Until 4 Oct 2016

No changes recorded yet.