Weston-Cummins Limited

• Principal Place of Business

  29 St John's Lane

  Clerkenwell

  London

  EC1M 4NA

  UNITED KINGDOM

  Phone

  +4402074004700

  Web

  https://www.hfmcwealth.com

• Complaints Contact

  29 St John's Lane

  Clerkenwell

  London

  EC1M 4NA

  UNITED KINGDOM

  Phone

  +4402074004700

• 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.

• Insurance Admin

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

• 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

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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 David Spencer Weston

  IRN ADW00024

  • 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 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Andrew Neil Peters

  IRN ANP01022

  • CF21 Investment Adviser (21 Dec 2001 to 30 May 2003)
• Carl Lamb

  IRN CXL00027

  • CF30 Customer (24 Jun 2010 to 27 Sep 2019)
• Charles Nicholas Frank

  IRN CNF00004

  • 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)
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Sep 2023)
  • SMF3 Executive Director (9 Dec 2019 to 19 Sep 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 19 Sep 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 19 Sep 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 19 Sep 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (19 Sep 2003 to 31 Oct 2007)
  • CF10 Compliance Oversight (19 Sep 2003 to 8 Dec 2019)
  • CF1 Director (19 Sep 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
• David Joseph Smith

  IRN DXS01484

  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 6 Nov 2025)
  • [FCA CF] Client dealing (since 6 Nov 2025)
• Dermot McSweeney

  IRN DXM00178

  • [FCA CF] Manager of certification employee (since 19 Feb 2024)
• Ian Patrick Shearring

  IRN IPS01031

  • CF30 Customer (1 Nov 2007 to 21 May 2010)
  • CF22 Investment Adviser (Trainee) (21 Sep 2006 to 31 Oct 2007)
• James Roberts

  IRN JXR00984

  • SMF3 Executive Director (since 2 Oct 2025)
• Jane Anne Kennedy

  IRN JAK01120

  • Director of firm who is not a certification employee or a SMF manager (since 1 Sep 2023)
• John Nicolas Jeremy Hoyland

  IRN JNH00007

  • SMF9 Chair of the Governing Body (since 14 Feb 2025)
  • SMF1 Chief Executive (14 Aug 2023 to 19 Feb 2025)

No changes recorded yet.