STONEWATER WEALTH MANAGEMENT LIMITED

Date authorised
1 April 2013
Companies House
06746078
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1b Tarleton Office Park
    Windgate
    Tarleton
    Lancashire
    PR4 6JF
    UNITED KINGDOM
    Phone
    +4401772287778
    Web
    https://www.stonewaterwm.com

  • Complaints Contact

    1b Tarleton Office Park
    Windgate
    Tarleton
    Lancashire
    PR4 6JF
    UNITED KINGDOM
    Phone
    +4401772287778
    Web
    https://www.stonewaterwm.com

What this firm is allowed to do

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

  • 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
    • · 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 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

    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

    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.

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • 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.

  • Derek John Winsland

    IRN DJW00089

    • CF1 Director (AR) (11 Apr 2013 to 12 May 2014)
    • CF30 Customer (11 Apr 2013 to 12 May 2014)
  • Gary John Lea

    IRN GJL01067

    • 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 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (1 Oct 2018 to 23 Oct 2019)
    • Responsible for Insurance Mediation (9 Jan 2009 to 30 Sep 2018)
    • CF30 Customer (9 Jan 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (9 Jan 2009 to 23 Oct 2019)
    • CF1 Director (9 Jan 2009 to 8 Dec 2019)
  • Geoffrey William Catterall

    IRN GWC01045

    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 23 Oct 2019)
    • CF11 Money Laundering Reporting (23 Oct 2019 to 8 Dec 2019)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 21 Aug 2023)
    • CF10 Compliance Oversight (9 Jan 2009 to 8 Dec 2019)
    • CF1 Director (9 Jan 2009 to 8 Dec 2019)
    • CF30 Customer (9 Jan 2009 to 8 Dec 2019)
  • Jeffrey John Noblett

    IRN JJN00009

    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (9 Jan 2009 to 8 Dec 2019)
    • CF30 Customer (9 Jan 2009 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (9 Jan 2009 to 31 Mar 2009)
  • John Graham Crossley

    IRN JGC00031

    • CF1 Director (9 Jan 2009 to 2 Jul 2009)
    • CF30 Customer (9 Jan 2009 to 29 Dec 2017)
  • Paul Stanley Ramsden

    IRN PSR00013

    • CF30 Customer (8 Jun 2009 to 21 Dec 2012)
  • Stuart Eric Sinclair

    IRN SES00015

    • CF1 Director (9 Jan 2009 to 2 Jul 2009)
    • CF30 Customer (9 Jan 2009 to 31 Dec 2009)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.