WARWICKSHIRE INDEPENDENT FINANCIAL SERVICES LIMITED

Date authorised
1 April 2013
Companies House
05933159
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Warwickshire Independent Financial Services Ltd
    6 Doctors Lane
    Henley-In-Arden
    Warwickshire
    B95 5AW
    UNITED KINGDOM
    Phone
    +4401564797370
    Web
    https://www.wifs.co.uk

  • Complaints Contact

    6 Doctors Lane
    Henley-in-Arden
    Warwickshire
    B95 5AW
    UNITED KINGDOM
    Phone
    +4401564797370

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), 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), 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 pension policies with a Guaranteed Annuity Rate.
    • · 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

  • 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.

  • 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, 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.

  • Clare Margaret Plant

    IRN CMP01109

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (2 Jul 2007 to 8 Dec 2019)
  • Dawn Elaine Farley

    IRN DEF01032

    • CF1 Director (2 Jul 2007 to 3 May 2016)
  • Jonathan Plant

    IRN JXP00132

    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (3 May 2016 to 6 Jan 2026)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jul 2007 to 30 Sep 2018)
    • CF10 Compliance Oversight (2 Jul 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jul 2007 to 31 Oct 2007)
    • CF1 Director (2 Jul 2007 to 8 Dec 2019)
  • Malcolm John Farley

    IRN MJF00050

    • 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 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (2 Jul 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jul 2007 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (2 Jul 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (2 Jul 2007 to 31 Mar 2009)

Recent activity

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

No changes recorded yet.