WALPOLE FINANCIAL LIMITED

• Principal Place of Business

  12 Victoria Road

  Surbiton

  KT6 4JZ

  UNITED KINGDOM

  Phone

  +442087862112

  Web

  https://www.walpolefinancial.co.uk

• Complaints Contact

  12 Victoria Road

  Surbiton

  KT6 4JZ

  UNITED KINGDOM

  Phone

  +442087862112

• Buy-to-Let Mortgage Advice

• Pension Transfer Advice

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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

• Equity Release Arranging

  For Customer, Home reversion plans

• 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Equity Release Setup

  For Customer, Home reversion plans

• 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, 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 David McKinley

  IRN ADM00049

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Sep 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2025)
  • CF30 Customer (1 Oct 2009 to 23 Dec 2021)
• David Julian Charter

  IRN DJC00108

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Mar 2009 to 4 Jan 2013)
• Jeffrey Townsley

  IRN JXT01366

  • SMF3 Executive Director (9 Dec 2019 to 29 Nov 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Nov 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Nov 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Jan 2007 to 15 May 2015)
  • Responsible for Insurance Mediation (2 Jan 2007 to 27 Apr 2018)
  • CF8 Apportionment and Oversight (2 Jan 2007 to 31 Mar 2009)
  • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (2 Jan 2007 to 15 May 2015)
  • CF1 Director (2 Jan 2007 to 8 Dec 2019)
• Matthew Holloway

  IRN MXH00439

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 11 Aug 2025)
• Michael Robert Smith

  IRN MRS01304

  • 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 13 Mar 2026)
• Niels Emmerson

  IRN NXE00028

  • [FCA CF] Client dealing (6 Apr 2020 to 30 Apr 2025)
  • [FCA CF] Functions requiring qualifications (6 Apr 2020 to 30 Apr 2025)
• Oliver Slade

  IRN OXS01083

  • 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
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 11 Oct 2016)
  • Responsible for Insurance Mediation (1 May 2018 to 30 Sep 2018)
  • CF1 Director (16 Jul 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (16 Jul 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (16 Jul 2015 to 8 Dec 2019)
  • CF30 Customer (15 Jul 2008 to 8 Dec 2019)
• Robert Anthony Spencer

  IRN RAS01361

  • 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] Manager of certification employee (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (8 Aug 2017 to 8 Dec 2019)
  • CF30 Customer (22 May 2015 to 8 Dec 2019)

• Alan David McKinley (no longer appointed)

  FRN 507696 · Appointed 1 Oct 2009 · Until 14 Jan 2022

No changes recorded yet.