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

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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), 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.

• 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.

• Geoffrey Stuart Pitts

  IRN GSP00004

  • SMF3 Executive Director (9 Dec 2019 to 28 Aug 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• George Harvey

  IRN GXH00315

  • 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] Functions requiring qualifications (since 8 Jul 2024)
  • [FCA CF] Client dealing (since 8 Jul 2024)
• Giles Edward John Fisher Moore

  IRN GEM01075

  • [FCA CF] Client dealing (22 Mar 2021 to 26 Oct 2022)
  • [FCA CF] Functions requiring qualifications (22 Mar 2021 to 26 Oct 2022)
  • CF30 Customer (20 Sep 2019 to 8 Dec 2019)
• Gillian Sybil Beresford

  IRN GSB00031

  • CF1 Director (1 Dec 2001 to 12 Sep 2003)
• Glenn Aubrey Stredder

  IRN GAS00018

  • [FCA CF] Client dealing (9 Nov 2020 to 24 Jan 2025)
  • [FCA CF] Functions requiring qualifications (9 Nov 2020 to 24 Jan 2025)
• Howard Andrew Clive Morrison

  IRN HXM00235

  • Director of firm who is not a certification employee or a SMF manager (since 24 Jan 2022)
• Jacob Price

  IRN JXP01108

  • 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] Functions requiring qualifications (since 10 Apr 2025)
  • [FCA CF] Client dealing (since 10 Apr 2025)
• Joginder Singh

  IRN JXS00229

  • CF21 Investment Adviser (3 Oct 2002 to 30 Mar 2007)
  • CF22 Investment Adviser (Trainee) (13 Dec 2001 to 3 Oct 2002)
• John Francis Inglis

  IRN JFI00001

  • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• John Godding

  IRN JPG00001

  • CF30 Customer (1 Nov 2007 to 24 Dec 2010)
  • CF21 Investment Adviser (6 Aug 2004 to 31 Oct 2007)

No changes recorded yet.