W1M Investment Management Limited

• Principal Place of Business

  16 Babmaes Street

  London

  SW1Y 6AH

  UNITED KINGDOM

  Phone

  +442074847496

  Web

  https://www.w1m.com

• Complaints Contact

  16 Babmaes Street

  London

  SW1Y 6AH

  UNITED KINGDOM

  Phone

  +4402046172000

• P2P Lending Advice

  For Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to regulated and unregulated collective investment scheme marketing activities and in carrying on such activities to the specified investments "unit" and "rights to or interests in investments - security", (when the latter is associated with this specified investment).

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Holds Your Assets

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Stakeholder pension scheme, 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.

• Alan Francis Gibbs

  IRN AFG01017

  • CF29 Significant management (21 Dec 2012 to 14 Oct 2013)
  • CF28 Systems and controls (4 May 2012 to 11 Dec 2012)
  • CF30 Customer (1 Nov 2007 to 3 May 2016)
  • CF27 Investment Management (21 Oct 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (21 Oct 2005 to 31 Oct 2007)
  • CF1 Director (21 Oct 2005 to 18 Apr 2011)
• Alena Isakova

  IRN AXI14015

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Apr 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Apr 2026)
  • CF30 Customer (18 Apr 2019 to 8 Dec 2019)
• Alexander Cottrell

  IRN AXC02910

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Client dealing (since 16 Feb 2024)
  • [FCA CF] Functions requiring qualifications (since 16 Feb 2024)
• Alexandra Buchan-Heelas

  IRN AMB01346

  • [FCA CF] Manager of certification employee (31 Mar 2024 to 8 Apr 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Apr 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Apr 2026)
  • CF30 Customer (16 Sep 2013 to 8 Dec 2019)
• Alexandra Lucy Pritchard

  IRN ALP01041

  • CF1 Director (15 Jul 2003 to 27 Mar 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 4 May 2007)
  • CF27 Investment Management (1 Dec 2001 to 4 May 2007)
• Alexandra Winifred Louise Napier

  IRN AWN01015

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2022)
• Algernon Alan Percy

  IRN AAP01033

  • SMF3 Executive Director (9 Dec 2019 to 1 Jul 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 8 Apr 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Apr 2026)
  • CF29 Significant management (19 Dec 2012 to 8 Dec 2019)
  • CF28 Systems and controls (2 May 2012 to 11 Dec 2012)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (19 Jun 2006 to 18 Apr 2011)
  • CF27 Investment Management (8 Apr 2003 to 31 Oct 2007)
• Ananth Steven Singh Chhoker

  IRN AXC00471

  • SMF3 Executive Director (since 1 Aug 2024)
  • [FCA CF] Significant management (since 5 Sep 2023)
• Andreas John

  IRN AXJ01396

  • CF2 Non Executive Director (1 Jul 2010 to 2 Aug 2013)
• Andrew James Steel

  IRN AJS01254

  • CF28 Systems and controls (1 Nov 2007 to 20 May 2009)
  • CF3 Chief Executive (30 May 2007 to 20 May 2009)
  • CF8 Apportionment and Oversight (30 May 2007 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 20 May 2009)
  • CF13 Finance (1 Dec 2001 to 15 Jun 2007)
  • CF15 Internal Audit (1 Dec 2001 to 31 Oct 2007)
  • CF14 Risk Assessment (1 Dec 2001 to 15 Jun 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 3 Feb 2004)

• Harrington Cooper LLP (no longer appointed)

  FRN 457137 · Appointed 13 Sep 2006 · Until 31 Mar 2010

No changes recorded yet.