Walker Crips Financial Planning Limited

• Principal Place of Business

  Apollo House

  Eboracum Way

  York

  YO31 7RE

  UNITED KINGDOM

  Phone

  +441904544300

  Web

  https://www.wcgplc.co.uk

• Complaints Contact

  Apollo House

  Eboracum Way

  York

  YO31 7RE

  UNITED KINGDOM

  Phone

  +441904544300

• 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

  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 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.
  • · Limited to non-mainstream regulated activities in respect of non-investment insurance contracts.

• Nicholas Charles Peter Marsden

  IRN NCM00003

  • CF30 Customer (1 Nov 2007 to 27 Jun 2014)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 27 Jun 2014)
• Nicholas Lee

  IRN NCL01016

  • 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 27 May 2021)
  • [FCA CF] Functions requiring qualifications (since 27 May 2021)
  • [FCA CF] Manager of certification employee (since 27 May 2021)
• Nigel Peter Skelton

  IRN NPS00008

  • Responsible for Insurance Mediation (13 Feb 2017 to 29 Sep 2017)
  • CF1 Director (3 Jan 2017 to 29 Sep 2017)
  • CF3 Chief Executive (3 Jan 2017 to 6 Sep 2017)
  • CF30 Customer (27 Apr 2009 to 8 Oct 2014)
• Oliver Barton Smyth

  IRN OBS01010

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 Sep 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 25 Sep 2020)
  • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
• Paul Gooch

  IRN PLG00005

  • 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 25 Oct 2023)
  • [FCA CF] Client dealing (since 25 Oct 2023)
• Peter James Froggatt

  IRN PJF01096

  • CF2 Non Executive Director (1 Dec 2001 to 8 Jul 2005)
• Richard Geoffrey Carr

  IRN RXC00126

  • CF30 Customer (10 May 2011 to 25 Apr 2016)
• Richard Stanley Byfield

  IRN RSB00009

  • CF30 Customer (1 Nov 2007 to 1 Aug 2012)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 24 May 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Robert Alan Elliott

  IRN RAE00004

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (1 Dec 2001 to 24 Jan 2007)
• Robert Ward

  IRN RXW01467

  • 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 (5 Apr 2013 to 8 Dec 2019)

No changes recorded yet.