Wardour Financial Planners Ltd

• Principal Place of Business

  Spaces, 1 Chalfont Park

  Chalfont St. Peter

  Gerrards Cross

  Buckinghamshire

  SL9 0BG

  UNITED KINGDOM

  Phone

  +441753968359

  Web

  https://www.wardourinvestments.com

• Complaints Contact

  Spaces, 1 Chalfont Park

  Chalfont St. Peter

  Gerrards Cross

  Buckinghamshire

  SL9 0BG

  UNITED KINGDOM

  Phone

  +441753968359

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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.
  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For Commercial, 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

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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, 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

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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.

• Basic Pension Advice

  For Retail (Investment), Stakeholder products

• Andrew James Nicolson

  IRN AJN00021

  • CF30 Customer (5 Oct 2016 to 30 Jun 2017)
• Christopher James Phillips

  IRN CJP00028

  • [FCA CF] Client dealing (7 Dec 2020 to 10 Jan 2024)
  • [FCA CF] Functions requiring qualifications (7 Dec 2020 to 10 Jan 2024)
  • SMF3 Executive Director (9 Dec 2019 to 7 May 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 7 May 2020)
  • Responsible for Insurance Distribution (16 Nov 2018 to 7 May 2020)
  • CF10 Compliance Oversight (16 Nov 2018 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (15 Feb 2017 to 7 May 2020)
  • CF8 Apportionment and Oversight (5 Oct 2016 to 2 Nov 2018)
  • CF30 Customer (5 Oct 2016 to 8 Dec 2019)
  • CF1 Director (5 Oct 2016 to 8 Dec 2019)
• David Jonathan Blake

  IRN DJB01689

  • [FCA CF] Client dealing (7 Dec 2020 to 10 Jan 2024)
  • [FCA CF] Functions requiring qualifications (7 Dec 2020 to 10 Jan 2024)
  • CF30 Customer (24 Aug 2018 to 8 Dec 2019)
• John Grieve

  IRN JXG00063

  • CF30 Customer (5 Oct 2016 to 8 Dec 2019)
• Liam David Butchers

  IRN LDB01052

  • CF30 Customer (5 Oct 2016 to 4 Apr 2017)
• Nigel Wyn Burgess

  IRN NWB00007

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 7 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
  • Responsibility for MCD Intermediation (since 4 Jun 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (6 Feb 2017 to 8 Dec 2019)
  • CF1 Director (5 Oct 2016 to 8 Dec 2019)
  • CF30 Customer (5 Oct 2016 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (5 Oct 2016 to 2 Nov 2018)
• Nimesh Jagdishlal Nathwani

  IRN NJN00009

  • 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 7 Dec 2020)
  • [FCA CF] Client dealing (since 7 Dec 2020)
  • SMF16 Compliance Oversight (since 7 Sep 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10 Compliance Oversight (6 Jun 2017 to 2 Nov 2018)
  • CF1 Director (5 Oct 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (5 Oct 2016 to 30 Sep 2018)
  • Responsibility for MCD Intermediation (5 Oct 2016 to 5 Jan 2017)
  • CF8 Apportionment and Oversight (5 Oct 2016 to 2 Nov 2018)
  • CF30 Customer (5 Oct 2016 to 8 Dec 2019)
• Peter Robert John Thomas

  IRN PRT00026

  • CF30 Customer (5 Oct 2016 to 5 Oct 2016)
• Philip Lawrence Adams

  IRN PLA00005

  • 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 7 Dec 2020)
  • [FCA CF] Client dealing (since 7 Dec 2020)
  • CF30 Customer (5 Oct 2016 to 8 Dec 2019)

No changes recorded yet.