Ward Goodman Financial Services Ltd

• Principal Place of Business

  4 Cedar Park

  Cobham Road

  Ferndown Industrial Estate

  Wimborne

  Dorset

  BH21 7SF

  UNITED KINGDOM

  Phone

  +4401202875900

  Web

  https://www.wardgoodman.co.uk

• Complaints Contact

  4 Cedar Park

  Cobham Road

  Ferndown Industrial Estate

  Wimborne

  Dorset

  BH21 7SF

  UNITED KINGDOM

  Phone

  +4401202875900

• 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 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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  • · 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.

• Equity Release Advice

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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

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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

  For Professional, Retail (Investment)

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

• Equity Release Arranging

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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), 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · 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”.

• Equity Release Setup

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, 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.

• Adrian Patrick Seager

  IRN APS00034

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • CF30 Customer (since 1 Oct 2012)
• Alexander Foster

  IRN AXF01333

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (AR) (since 29 Nov 2017)
  • CF30 Customer (since 18 Mar 2013)
  • CF1 Director (9 May 2017 to 8 Dec 2019)
• Anthony Charles Beresford

  IRN ACB01129

  • CF21 Investment Adviser (31 Mar 2003 to 31 Oct 2004)
• Christopher James Peters

  IRN CJP00058

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • CF30 Customer (since 25 Oct 2013)
• Daniel Socorro

  IRN DXS00201

  • [FCA CF] Client dealing (since 9 Dec 2020)
• David Charles Sinclair

  IRN DCS01089

  • CF21 Investment Adviser (10 Jul 2003 to 19 Mar 2007)
  • CF24 Pension Transfer Specialist (10 Jul 2003 to 19 Mar 2007)
• David Lapthorn

  IRN DEL01028

  • Responsible for Insurance Distribution (1 Oct 2018 to 1 May 2019)
  • Responsible for Insurance Mediation (22 Sep 2008 to 30 Sep 2018)
  • CF1 Director (AR) (17 Dec 2007 to 1 May 2019)
  • CF8 Apportionment and Oversight (4 Oct 2007 to 31 Mar 2009)
  • CF1 Director (31 Mar 2003 to 1 May 2019)
• Emma Claire Trowbridge

  IRN ECI01003

  • CF22 Investment Adviser (Trainee) (16 Jan 2004 to 31 Jul 2005)
• Gareth John Simon

  IRN GJS00049

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 2 May 2019)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF1 Director (AR) (since 16 Oct 2012)
  • CF30 Customer (since 1 Nov 2007)
  • CF10 Compliance Oversight (1 Mar 2012 to 8 Dec 2019)
  • CF1 Director (1 Mar 2012 to 8 Dec 2019)
  • CF21 Investment Adviser (20 Nov 2003 to 31 Oct 2007)
• Garry Crook

  IRN GXC00155

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • CF30 Customer (since 18 Aug 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Feb 2021)
  • [FCA CF] Client dealing (since 1 Feb 2021)
  • Appointed representative dealing with clients for which they require qualification (since 1 Feb 2021)

• Blanchards Bailey Financial Services Ltd

  FRN 544565 · Appointed 1 Apr 2011

• HK Financial Advice Service Ltd

  FRN 440977 · Appointed 25 Oct 2005

• Ward Goodman Asset Management Ltd (no longer appointed)

  FRN 574152 · Appointed 1 Feb 2012 · Until 1 Dec 2017

• TFS Financial Services Limited (no longer appointed)

  FRN 227497 · Appointed 7 Aug 2003 · Until 1 Apr 2007

No changes recorded yet.