Watermark Wealth Management Limited

• Principal Place of Business

  Watermark Wealth Management

  Manor House

  Manor Road

  Burnham-On-Sea

  Somerset

  TA8 2AS

  UNITED KINGDOM

  Phone

  +441278794499

  Web

  https://www.wwm.ltd

• Complaints Contact

  Watermark Wealth Management

  Manor House

  Manor Road

  Burnham-On-Sea

  Somerset

  TA8 2AS

  UNITED KINGDOM

  Phone

  +441278794499

• 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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  • · 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.
  • · 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

  For Customer, Home reversion plans

• 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.

• 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• 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

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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 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.

• Anthony Herbert Thompson

  IRN AHT00003

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Feb 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 17 Feb 2025)
  • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
• Benjamin Francis Gates

  IRN BXG00283

  • 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 20 Dec 2024)
  • [FCA CF] Client dealing (since 20 Dec 2024)
• Elizabeth Francis

  IRN EXF00039

  • [FCA CF] Functions requiring qualifications (2 Jan 2020 to 1 Mar 2021)
• James Cannard

  IRN JXC03000

  • 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)
  • 21. Advising or arranging (bringing about) equity release transactions
  • SMF3 Executive Director (since 14 Oct 2025)
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
  • [FCA CF] Client dealing (since 4 Jan 2021)
• Kyran Gary Marshall

  IRN KXM00755

  • [FCA CF] Functions requiring qualifications (20 Dec 2024 to 7 Oct 2025)
  • [FCA CF] Client dealing (20 Dec 2024 to 7 Oct 2025)
• Mark Andrew Woods

  IRN MAW00017

  • 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)
  • Responsible for Insurance Distribution (since 31 Aug 2021)
  • Responsibility for MCD Intermediation (since 31 Aug 2021)
  • SMF16 Compliance Oversight (since 31 Aug 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 31 Aug 2021)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 10 Dec 2019)
  • CF1 Director (2 Sep 2019 to 8 Dec 2019)
  • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
• Matthew John Rogers

  IRN MJR00142

  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
• Stephen Charles Young

  IRN SXY00012

  • [FCA CF] Client dealing (9 Dec 2019 to 17 Feb 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Feb 2025)
  • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
• Stephen Jewell

  IRN SXJ00019

  • SMF16 Compliance Oversight (9 Dec 2019 to 6 Sep 2021)
  • SMF3 Executive Director (9 Dec 2019 to 6 Sep 2021)
  • CF1 Director (2 Sep 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Sep 2019 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (2 Sep 2019 to 6 Sep 2021)
  • Responsible for Insurance Distribution (2 Sep 2019 to 6 Sep 2021)

No changes recorded yet.