Warner Goodman LLP

• Principal Place of Business

  Portland Chambers

  66 West Street

  Fareham

  Hampshire

  PO16 0JR

  UNITED KINGDOM

  Phone

  +4401329288121

  Web

  https://www.warnergoodman.co.uk

• Complaints Contact

  Portland Chambers

  66 West Street

  Fareham

  Hampshire

  PO16 0JR

  UNITED KINGDOM

  Phone

  +4401329288121

• P2P Lending Advice

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

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Debt Negotiation

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  • · This permission is limited to debt adjusting which is provided in connection with legal advice

• Debt Plan Admin

• Debt Collection

• Debt Advice

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  • · This permission is limited to debt counselling which is provided in connection with legal advice

• Consumer Loans

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  • · Limited to lending that is in connection with the repayment of fees relating to the provision of professional services
  • · Limited to lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement

• Loan Servicing

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  • · Limited to lending that is in connection with the repayment of fees relating to the provision of professional services

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.
  • · Subject to this activity being limited to a non-mainstream regulated activity

• Credit Score Services

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  • · Limited to the provision of credit information services with no credit repair (as defined by 89A (3)(c) & (d) Regulated Activities order)

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, 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.

• Andrew Charles Gibb

  IRN ACG00013

  • CF30 Customer (6 Jun 2012 to 6 Oct 2015)
• Andrew John Munden

  IRN AXM00383

  • SMF16 Compliance Oversight (since 1 Dec 2021)
  • Responsible for Insurance Distribution (since 18 Feb 2021)
  • SMF27 Partner (since 18 Feb 2021)
• Andrew Oxenham

  IRN AXO01128

  • CF28 Systems and controls (1 Nov 2007 to 19 Dec 2008)
  • CF13 Finance (2 May 2007 to 31 Oct 2007)
• Benjamin Lee Giles

  IRN BLG01010

  • CF30 Customer (19 Aug 2015 to 18 Jan 2017)
• Edward Voller

  IRN EXV01145

  • SMF27 Partner (9 Dec 2019 to 30 May 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Mar 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 30 May 2021)
  • CF11 Money Laundering Reporting (1 May 2016 to 8 Dec 2019)
  • CF4 Partner (1 May 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 May 2016 to 30 Sep 2018)
• Ian Curtis

  IRN IXC01110

  • Responsible for Insurance Mediation (2 May 2007 to 1 May 2016)
  • CF10 Compliance Oversight (2 May 2007 to 1 Oct 2009)
  • CF11 Money Laundering Reporting (2 May 2007 to 1 May 2016)
  • CF4 Partner (2 May 2007 to 1 May 2016)
  • CF8 Apportionment and Oversight (2 May 2007 to 31 Mar 2009)
• Martin Carl Giles

  IRN MCG01053

  • CF30 Customer (1 Nov 2007 to 30 Apr 2009)
  • CF21 Investment Adviser (2 May 2007 to 31 Oct 2007)
• Navdeep Dulai

  IRN NXD01236

  • CF28 Systems and controls (22 Jan 2009 to 8 Dec 2019)
• Sarah Elizabeth Louise Brooks

  IRN SXB00262

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Mar 2021)
  • SMF27 Partner (since 26 Mar 2021)
• Susan Joan Groves

  IRN SJB01342

  • CF30 Customer (1 Nov 2007 to 21 Aug 2009)
  • CF21 Investment Adviser (2 May 2007 to 31 Oct 2007)

No changes recorded yet.