Westerby Investment Management Limited

• Principal Place of Business

  15 Andover Street

  -

  Leicester

  Leicestershire

  LE2 0JA

  UNITED KINGDOM

  Phone

  +441162470304

  Web

  https://www.westerby-investment.co.uk

• Complaints Contact

  15 Andover Street

  Leicester

  Leicestershire

  LE2 0JA

  UNITED KINGDOM

  Phone

  +441162470304

• P2P Lending Advice

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

• 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: 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

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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.

• 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.

• Alexander Carruthers

  IRN AXC00631

  • [FCA CF] Client dealing (2 Apr 2025 to 2 Dec 2025)
  • [FCA CF] Functions requiring qualifications (2 Apr 2025 to 2 Dec 2025)
• Ann Eales

  IRN AXE00002

  • CF1 Director (16 Jun 2002 to 24 May 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 6 Nov 2006)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 6 Nov 2006)
• Christopher Charles Wilkins

  IRN CCW00017

  • CF30 Customer (16 Nov 2016 to 8 Dec 2019)
• Clive Alan Smith

  IRN CAS00023

  • CF21 Investment Adviser (1 Dec 2001 to 23 Jul 2004)
• Colin David Hopewell

  IRN CDH00006

  • [FCA CF] Functions requiring qualifications (7 Dec 2020 to 18 Jan 2023)
  • [FCA CF] Client dealing (7 Dec 2020 to 18 Jan 2023)
  • CF30 Customer (1 Jul 2013 to 8 Dec 2019)
• Daniel Gerald Scott Brittenden

  IRN DGB00034

  • CF21 Investment Adviser (1 Dec 2001 to 6 Dec 2001)
• Danusia Helena Ephraim

  IRN DHL01042

  • CF30 Customer (15 Feb 2016 to 8 Dec 2019)
• David Kenneth Santaney

  IRN DKS01024

  • CF30 Customer (4 Jun 2018 to 26 Jul 2019)
• Deborah Jayne Hinks

  IRN DXH18280

  • [FCA CF] Client dealing (9 Dec 2019 to 9 Apr 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Apr 2026)
  • CF30 Customer (7 Aug 2019 to 8 Dec 2019)
• Gary Michael Petersen

  IRN GMP00019

  • CF24 Pension Transfer Specialist (1 Dec 2001 to 18 Jun 2002)
  • CF21 Investment Adviser (1 Dec 2001 to 18 Jun 2002)

No changes recorded yet.