VWM Consulting Limited

• Principal Place of Business

  95 Douglas Street

  Glasgow

  Lanarkshire

  G2 4EU

  UNITED KINGDOM

  Phone

  +4401412294004

  Web

  https://www.vwmwealth.com

• Complaints Contact

  95 Douglas Street

  Glasgow

  Lanarkshire

  G2 4EU

  UNITED KINGDOM

  Phone

  +4401412294004

• 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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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · 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.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management 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

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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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Alison Welsh

  IRN AXW02337

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Jan 2025)
  • CF2 Non Executive Director (21 Jun 2017 to 8 Dec 2019)
• Ann-Marie Brooks

  IRN AXB00939

  • 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 31 Jan 2025)
  • [FCA CF] Functions requiring qualifications (since 31 Jan 2025)
  • [FCA CF] Functions requiring qualifications (1 Jan 2022 to 1 Jun 2023)
• Christine Lau

  IRN CCC01037

  • CF30 Customer (1 Nov 2007 to 16 Sep 2011)
  • CF27 Investment Management (31 Jul 2007 to 31 Oct 2007)
• David Matthew Thomson

  IRN DMT00002

  • 14. Managing investments
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Jan 2025)
  • [PRA CF] Key function holder (9 Dec 2019 to 31 Jan 2025)
  • CF10 Compliance Oversight (5 Dec 2019 to 8 Dec 2019)
  • Responsible for Insurance Mediation (7 Jul 2010 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (10 Jan 2008 to 1 Aug 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (AR) (16 Aug 2007 to 26 Feb 2014)
  • CF27 Investment Management (15 Mar 2007 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (14 Dec 2006 to 31 Oct 2007)
  • CF1 Director (14 Dec 2006 to 8 Dec 2019)
  • CF21 Investment Adviser (14 Dec 2006 to 31 Oct 2007)
• Elaine Wallace

  IRN EXW01315

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 16 Feb 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 10 Dec 2019)
  • CF10 Compliance Oversight (1 Aug 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Aug 2018 to 8 Dec 2019)
• Fergus Hugh Muirhead

  IRN FHM00003

  • CF30 Customer (1 Nov 2007 to 31 Mar 2012)
  • CF1 Director (AR) (15 Aug 2007 to 22 Jun 2010)
  • Responsible for Insurance Mediation (14 Jan 2005 to 22 Jun 2010)
  • CF1 Director (1 Aug 2004 to 22 Jun 2010)
  • CF21 Investment Adviser (1 Aug 2004 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Aug 2004 to 3 Jan 2008)
  • CF11 Money Laundering Reporting (1 Aug 2004 to 3 Jan 2008)
• Grahame Peter Hopper

  IRN GPH01079

  • 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 31 Jan 2025)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [PRA CF] Key function holder (9 Dec 2019 to 31 Jan 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Jan 2025)
  • CF1 Director (22 May 2019 to 8 Dec 2019)
  • CF30 Customer (1 Jan 2016 to 8 Dec 2019)
• Ian Stuart Vance

  IRN ISV01002

  • CF1 Director (1 Aug 2004 to 6 May 2005)
  • CF8 Apportionment and Oversight (1 Aug 2004 to 6 May 2005)
• Karen Hassan

  IRN KXH01450

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Feb 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Feb 2022)
  • CF30 Customer (1 Sep 2018 to 8 Dec 2019)
• Kenneth Anderson Welsh

  IRN KAW00013

  • SMF3 Executive Director (9 Dec 2019 to 11 Dec 2019)
  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 31 Jan 2025)
  • CF30 Customer (1 Nov 2007 to 29 Apr 2016)
  • CF1 Director (AR) (15 Aug 2007 to 26 Feb 2014)
  • CF24 Pension Transfer Specialist (5 May 2005 to 31 Oct 2007)
  • CF1 Director (7 Apr 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (7 Apr 2005 to 31 Oct 2007)

• VWM Investment Management Ltd (no longer appointed)

  FRN 471619 · Appointed 14 Aug 2007 · Until 26 Jul 2013

• VWM Wealth Management Ltd (no longer appointed)

  FRN 471621 · Appointed 14 Aug 2007 · Until 26 Jul 2013

No changes recorded yet.