Walter & Partners Ltd

Date authorised
1 April 2015
Companies House
09259743
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    20-22 Wenlock Road
    London
    N1 7GU
    UNITED KINGDOM
    Phone
    +442038580583
    Web
    https://www.walter-partners.co.uk

  • Complaints Contact

    20-22 Wenlock Road
    London
    N1 7GU
    UNITED KINGDOM
    Phone
    +442038580583

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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 2 limitations
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · 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
    • · 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

    Show 1 limitation
    • · 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
    • · 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

    Show 1 limitation
    • · 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”.

  • 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, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Aaron Peter Eriskin

    IRN APE01014

    • CF10 Compliance Oversight (22 Oct 2018 to 1 Apr 2019)
    • CF11 Money Laundering Reporting (13 Feb 2017 to 1 Apr 2019)
    • CF1 Director (AR) (21 May 2015 to 30 Jun 2016)
    • CF30 Customer (1 Apr 2015 to 1 May 2019)
    • CF1 Director (1 Apr 2015 to 1 Apr 2019)
  • Ben David Walter

    IRN BDW01042

    • [FCA CF] Client dealing (9 Dec 2019 to 10 Jun 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Jul 2024)
    • SMF3 Executive Director (9 Dec 2019 to 17 Jul 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Jun 2024)
    • CF10 Compliance Oversight (18 Jun 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (1 Oct 2018 to 17 Jul 2024)
    • CF1 Director (AR) (21 May 2015 to 30 Jun 2016)
    • CF11 Money Laundering Reporting (1 Apr 2015 to 12 Feb 2018)
    • Responsible for Insurance Mediation (1 Apr 2015 to 30 Sep 2018)
    • CF30 Customer (1 Apr 2015 to 8 Dec 2019)
    • CF1 Director (1 Apr 2015 to 8 Dec 2019)
  • Christopher Ray Smith

    IRN CRS01121

    • 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] Functions requiring qualifications (since 30 Aug 2024)
    • [FCA CF] Client dealing (since 30 Aug 2024)
    • Responsible for Insurance Distribution (since 17 Jul 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 17 Jul 2024)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF1 Director (22 Nov 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Nov 2019 to 8 Dec 2019)
  • David Steven Duncan

    IRN DSD01030

    • CF1 Director (AR) (21 May 2015 to 30 Jun 2016)
  • James Christopher Theodore Perkins

    IRN JCP00012

    • CF1 Director (AR) (21 May 2015 to 30 Jun 2016)
  • Sammy Michael Whybrow

    IRN SMW01145

    • [FCA CF] Functions requiring qualifications (17 Jun 2024 to 26 Mar 2025)
    • [FCA CF] Client dealing (17 Jun 2024 to 26 Mar 2025)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

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