Waterbridge Financial Planning Limited

• Principal Place of Business

  13 Market Street

  Penistone

  Sheffield

  S36 6BZ

  UNITED KINGDOM

  Phone

  +4401226447755

  Web

  https://www.waterbridgewealth.com

• Complaints Contact

  13 Market Street

  Penistone

  Sheffield

  S36 6BZ

  UNITED KINGDOM

  Phone

  +447879403497

• P2P Lending Advice

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

• 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

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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.

• 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

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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, 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

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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 Advice

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

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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.

• Greig Peter Godfrey

  IRN GPG01028

  • 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 30 Jan 2023)
  • SMF3 Executive Director (since 30 Jan 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Jan 2023)
  • [FCA CF] Client dealing (since 23 Oct 2020)
  • [FCA CF] Functions requiring qualifications (since 23 Oct 2020)
• Howard Street

  IRN HXS00041

  • [FCA CF] Client dealing (9 Dec 2020 to 30 Jan 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Feb 2023)
  • SMF3 Executive Director (9 Dec 2019 to 1 Feb 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jan 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Feb 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 1 Feb 2023)
  • CF10 Compliance Oversight (3 Jun 2016 to 8 Dec 2019)
  • CF30 Customer (3 Jun 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 Jun 2016 to 30 Sep 2018)
  • CF1 Director (3 Jun 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Jun 2016 to 8 Dec 2019)
• James Priestley

  IRN JXP01124

  • [FCA CF] Client dealing (19 May 2025 to 10 Apr 2026)
  • [FCA CF] Functions requiring qualifications (19 May 2025 to 10 Apr 2026)
• Lee White

  IRN LXW00026

  • 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] Client dealing (since 23 Oct 2020)
  • [FCA CF] Functions requiring qualifications (since 23 Oct 2020)
• Oliver Bullivant

  IRN OXB00191

  • 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
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • [FCA CF] Functions requiring qualifications (since 19 May 2025)
  • [FCA CF] Client dealing (since 19 May 2025)

No changes recorded yet.