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.

• Jonathan Dymond

  IRN JXD00086

  • CF21 Investment Adviser (3 Oct 2002 to 14 Jul 2006)
  • CF22 Investment Adviser (Trainee) (24 Jan 2002 to 3 Oct 2002)
• Leslie James McLintic

  IRN LJM00009

  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (1 Oct 2018 to 5 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 28 Dec 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (1 Dec 2001 to 5 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 5 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF3 Chief Executive (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Michael Matthew Callaghan

  IRN MMC00002

  • 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 4 Jan 2021)
  • [FCA CF] Client dealing (since 4 Jan 2021)
• Neil Craig Bevan

  IRN NCB00012

  • CF30 Customer (1 Nov 2007 to 3 Oct 2008)
  • CF21 Investment Adviser (13 May 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (24 Feb 2004 to 13 May 2004)
• Paul Daniel Smyth

  IRN PDS00080

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 7 Jul 2006)
• Peter Lawrence Broughton

  IRN PLB00026

  • CF30 Customer (1 Apr 2019 to 5 Jul 2019)
• Rekha Jethwa

  IRN RXJ00224

  • [FCA CF] Client dealing (4 Nov 2022 to 25 Nov 2025)
  • [FCA CF] Functions requiring qualifications (4 Nov 2022 to 25 Nov 2025)
• Ruth Maloney

  IRN RXM01229

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Nov 2025)
  • SMF3 Executive Director (since 1 Nov 2025)
  • SMF16 Compliance Oversight (since 1 Nov 2025)
• Sean Christopher Harriman

  IRN SCH01182

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Manager of certification employee (since 14 Oct 2025)
  • [FCA CF] Client dealing (since 7 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
  • CF30 Customer (15 Feb 2016 to 8 Dec 2019)
• Stephen James Giles

  IRN SJG00025

  • CF30 Customer (1 Nov 2007 to 13 Apr 2018)
  • CF21 Investment Adviser (3 Sep 2003 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (3 Sep 2003 to 31 Oct 2007)

No changes recorded yet.