WDS Wealth Management Ltd

Date authorised
29 April 1988
Companies House
03912406
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Lawrence House
    James Nicolson Link
    Clifton Moor
    York
    North Yorkshire
    YO30 4WG
    UNITED KINGDOM
    Phone
    +4401904692949
    Web
    https://www.walterdawson.co.uk

  • Complaints Contact

    Lawrence House
    James Nicolson Link
    Clifton Moor
    York
    North Yorkshire
    YO30 4WG
    UNITED KINGDOM
    Phone
    +4401904692949

What this firm is allowed to do

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

  • Buy-to-Let Mortgage Advice

  • Buy-to-Let Mortgage Arranging

  • P2P Lending Advice

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

  • Pension Transfer Advice

    For Eligible Counterparty, 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

    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, Eligible Counterparty, 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

  • Authorised to Operate

  • Arranges Investments

    For Commercial, Eligible Counterparty, 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

  • Buy-to-Let Start Date

  • Buy-to-Let Status

  • Credit Brokering

  • Investment Setup

    For Commercial, Eligible Counterparty, 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

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Bruce Ian Harrison

    IRN BIH00002

    • CF30 Customer (1 Nov 2007 to 1 Apr 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 17 Apr 2003)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 30 Apr 2008)
    • CF10 Compliance Oversight (1 Dec 2001 to 30 Apr 2008)
  • David William Thompson

    IRN DWT01043

    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2002)
  • Jack Hewitson

    IRN JXH06463

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 12 Dec 2024)
    • [FCA CF] Client dealing (since 7 Sep 2022)
    • [FCA CF] Functions requiring qualifications (since 7 Sep 2022)
  • James David Newton

    IRN JDN01025

    • SMF16 Compliance Oversight (9 Dec 2019 to 7 Feb 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Feb 2020)
    • SMF3 Executive Director (9 Dec 2019 to 19 May 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 7 Feb 2020)
    • CF1 Director (AR) (19 Mar 2013 to 7 Feb 2020)
    • CF10 Compliance Oversight (12 May 2008 to 8 Dec 2019)
    • CF1 Director (12 May 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (12 May 2008 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 17 Apr 2004)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF13 Finance (1 Dec 2001 to 31 Oct 2007)
  • Jeremy Richard Gibbs

    IRN JRG00012

    • CF30 Customer (12 Oct 2016 to 13 Feb 2018)
  • Malcolm Simcock

    IRN MXS00241

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 29 Dec 2023)
    • CF30 Customer (26 Jan 2015 to 8 Dec 2019)
  • Martin James Fahy

    IRN MJF01323

    • [FCA CF] Client dealing (22 Nov 2021 to 1 Jan 2022)
    • [FCA CF] Functions requiring qualifications (22 Nov 2021 to 1 Jan 2022)
  • Martyn Alexander Thompson

    IRN MAT01187

    • CF1 Director (AR) (18 Mar 2013 to 11 Apr 2014)
  • Mitesh Patel

    IRN MXP02172

    • CF1 Director (AR) (18 Sep 2013 to 9 Apr 2015)
  • Neil Blann

    IRN NXB01609

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [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)
    • Responsibility for MCD Intermediation (since 7 Sep 2016)
    • CF30 Customer (since 4 Jun 2012)
    • CF1 Director (5 Dec 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Dec 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Dec 2013 to 8 Dec 2019)
    • CF1 Director (AR) (7 Mar 2013 to 13 May 2015)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.