Walford and Phelps

• Principal Place of Business

  33 Upminster Road

  Hornchurch

  Essex

  RM11 3UX

  UNITED KINGDOM

  Phone

  +4401708471828

  Web

  https://www.walfordandphelps.co.uk

• Complaints Contact

  33 Upminster Road

  Hornchurch

  Essex

  RM11 3UX

  UNITED KINGDOM

  Phone

  +4401708471828

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 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.

• 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 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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 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 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Debt Plan Admin

• Debt Advice

  Show 1 limitation Hide limitations

  • · 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”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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 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.

• Charles John Dennis Walford

  IRN CJW00089

  • SMF27 Partner (9 Dec 2019 to 25 May 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 25 May 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 25 May 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 25 May 2022)
  • CF30 Customer (6 Jun 2008 to 31 Dec 2012)
  • Responsible for Insurance Mediation (6 Jun 2008 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (6 Jun 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (6 Jun 2008 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (6 Jun 2008 to 31 Mar 2009)
  • CF4 Partner (6 Jun 2008 to 8 Dec 2019)
• Jonathan Edwin Peter Walford

  IRN JEW01114

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Jul 2022)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 26 Jul 2016)
  • [FCA CF] Client dealing (5 Oct 2020 to 15 Jul 2021)
  • CF4 Partner (6 Jun 2008 to 8 Dec 2019)
• Richard John Walford

  IRN RJW01282

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • 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 1 Jul 2022)
  • Responsible for Insurance Distribution (since 1 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 Jun 2008 to 8 Dec 2019)
  • CF4 Partner (6 Jun 2008 to 8 Dec 2019)

No changes recorded yet.