WAYNE AUSTIN IFA LIMITED

Date authorised
1 April 2013
Companies House
05729483
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Ground Floor Market Court
    20-24 Church Street
    Altrincham
    Cheshire
    WA14 4DW
    UNITED KINGDOM
    Phone
    +4401618328800
    Web
    https://www.wayneaustinifa.com

  • Complaints Contact

    Ground Floor Market Court
    20-24 Church Street
    Altrincham
    Cheshire
    WA14 4DW
    UNITED KINGDOM
    Phone
    +4401618328800

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

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

  • Pension Transfer Advice

    For Professional, Retail (Investment), Personal pension scheme, Stakeholder pension scheme

    Show 1 limitation
    • · 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 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

    Show 1 limitation
    • · 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

    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.

  • Credit Brokering

  • Debt Advice

    Show 2 limitations
    • · This permission is limited to debt counselling with no debt management activity
    • · This permission is limited to debt counselling which is provided with investment advice.

  • 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.

  • Adam Norris

    IRN AXN01609

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 9A. Advising on P2P agreements
    • 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 3 Nov 2025)
    • SMF16 Compliance Oversight (since 18 Sep 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Sep 2023)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (15 Nov 2018 to 8 Dec 2019)
    • CF30 Customer (3 Dec 2014 to 8 Dec 2019)
  • Angela Simone Jackson

    IRN AXJ00554

    • Director of firm who is not a certification employee or a SMF manager (since 29 Oct 2024)
  • Murray Lee Gibson

    IRN MLG00009

    • CF30 Customer (6 May 2009 to 29 Jun 2012)
  • Paul Antony George Rumbold

    IRN PAR01097

    • CF30 Customer (15 Aug 2011 to 6 Feb 2012)
  • Paul David Ware

    IRN PDW01081

    • CF30 Customer (1 Nov 2007 to 16 Jan 2012)
    • CF22 Investment Adviser (Trainee) (23 Oct 2007 to 31 Oct 2007)
  • Philip John Oats

    IRN PJO01082

    • CF30 Customer (4 Jul 2011 to 21 Mar 2014)
  • Ross James McGaw Brown

    IRN RJB01454

    • CF30 Customer (22 Jan 2010 to 27 Jul 2010)
  • Stuart George Cheetham

    IRN SGC01059

    • CF30 Customer (4 Oct 2010 to 29 Jun 2012)
  • Wayne Adrian Austin

    IRN WAA00004

    • 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
    • 9A. Advising on P2P agreements
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 3 Nov 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 3 Nov 2025)
    • Responsibility for MCD Intermediation (4 May 2016 to 3 Nov 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Jul 2006 to 30 Sep 2018)
    • CF10 Compliance Oversight (3 Jul 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jul 2006 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (3 Jul 2006 to 31 Mar 2009)
    • CF21 Investment Adviser (3 Jul 2006 to 31 Oct 2007)
    • CF1 Director (3 Jul 2006 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.