West Financial Management Co Limited

• Principal Place of Business

  55 Hyde Park Road

  Mutley

  Plymouth

  Devon

  PL3 4JN

  UNITED KINGDOM

  Phone

  +4401752228382

  Web

  https://www.westfm.biz

• Complaints Contact

  55 Hyde Park Road

  Mutley

  Plymouth

  Devon

  PL3 4JN

  UNITED KINGDOM

  Phone

  +4401752228382

• 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

  Show 2 limitations Hide limitations

  • · 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

  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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 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.

• 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.

• Christopher James Finan

  IRN CJF00002

  • 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 5 Aug 2020)
  • [FCA CF] Functions requiring qualifications (since 5 Aug 2020)
  • CF30 Customer (1 Mar 2012 to 8 Dec 2019)
• Crispin Murray Morgan Iles - Wright

  IRN CMI01012

  • CF30 Customer (31 Dec 2008 to 27 Feb 2009)
• Ernest Boyter Bertie

  IRN EBB00001

  • CF30 Customer (1 Nov 2007 to 24 Dec 2009)
  • CF21 Investment Adviser (11 Nov 2005 to 31 Oct 2007)
• Helen Jayne West

  IRN HJW00004

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 5 Aug 2020)
  • [FCA CF] Functions requiring qualifications (since 5 Aug 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Manager of certification employee (5 Aug 2020 to 16 Mar 2021)
  • [PRA CF] Key function holder (5 Aug 2020 to 16 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF24 Pension Transfer Specialist (19 Feb 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (19 Feb 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (19 Feb 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (19 Feb 2004 to 8 Dec 2019)
  • CF1 Director (19 Feb 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (19 Feb 2004 to 31 Mar 2009)
• Marcus Brown

  IRN MXB00287

  • CF30 Customer (31 Dec 2008 to 27 Feb 2009)
• Neil Gillibrand

  IRN NXG01332

  • CF30 Customer (15 Oct 2012 to 20 Feb 2017)
• Rachael Lein Eastley

  IRN RXE00137

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 24 Apr 2023)
  • [FCA CF] Client dealing (since 24 Apr 2023)

No changes recorded yet.