West Frazier Limited

• Principal Place of Business

  Oxford House

  15 Oxford Road

  Stokenchurch

  High Wycombe

  Buckinghamshire

  HP14 3SX

  UNITED KINGDOM

  Phone

  +4401494485585

• Complaints Contact

  Oxford House

  15 Oxford Road

  Stokenchurch

  High Wycombe

  Buckinghamshire

  HP14 3SX

  UNITED KINGDOM

  Phone

  +4401494485585

• 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 pension policies with a Guaranteed Annuity Rate.
  • · 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), 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.

• Arranges Investments

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

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts, Structured Deposits

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

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

• Alan James Edwards

  IRN AJE00041

  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 May 2021)
  • Responsibility for MCD Intermediation (since 12 May 2021)
  • Responsible for Insurance Distribution (since 12 May 2021)
  • SMF16 Compliance Oversight (since 12 May 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
• Andrew Martin Clark

  IRN AMC00006

  • SMF3 Executive Director (9 Dec 2019 to 13 Jan 2021)
  • SMF16 Compliance Oversight (9 Dec 2019 to 13 Jan 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 13 Jan 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 13 Jan 2021)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 13 Jan 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Christopher Richard Spain

  IRN CRS00015

  • CF30 Customer (9 Feb 2009 to 8 Dec 2019)
• Dilip Devani

  IRN DXD00003

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (23 Jul 2010 to 8 Dec 2019)
• Marcus Owen Dollimore

  IRN MOD00002

  • CF30 Customer (14 Nov 2007 to 1 Sep 2011)
• Mark John Alan Edwards

  IRN MXE00096

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF3 Executive Director (since 11 Feb 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)

No changes recorded yet.