Westward Financial Management Limited

Date authorised
1 April 2013
Companies House
05382934
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Suite 2 Swallow Court
    Devonshire Gate
    Tiverton
    Devon
    EX16 7EJ
    UNITED KINGDOM
    Phone
    +4401884841153
    Web
    https://www.westward-fm.com

  • Complaints Contact

    Suite 2 Swallow Court
    Devonshire Gate
    Tiverton
    Devon
    EX16 7EJ
    UNITED KINGDOM
    Phone
    +4401884841153

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

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

  • Pension Transfer Advice

    For 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

    Show 2 limitations
    • · 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

    Show 1 limitation
    • · 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
    • · 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
    • · 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.

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • Consumer Loans

    Show 1 limitation
    • · Limited to lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement

  • Loan Servicing

    Show 1 limitation
    • · Limited to lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement

  • 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Dawn Franklin

    IRN DXF00073

    • CF1 Director (1 Jul 2005 to 13 Jun 2013)
  • Lisa Sutton

    IRN LXS00266

    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 28 Aug 2025)
    • [FCA CF] Functions requiring qualifications (since 28 Aug 2025)
  • Nicholas Michael Austin

    IRN NMA00005

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 11 Nov 2022)
    • [FCA CF] Client dealing (since 11 Nov 2022)
    • SMF3 Executive Director (since 18 May 2022)
  • Simon John Austin

    IRN SXA01475

    • 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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 May 2022)
    • Responsible for Insurance Distribution (since 19 Mar 2021)
    • SMF3 Executive Director (since 19 Mar 2021)
    • SMF16 Compliance Oversight (since 19 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 23 Oct 2020)
    • [FCA CF] Client dealing (since 23 Oct 2020)
  • Simon Ward Franklin

    IRN SWF00005

    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Apr 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 May 2022)
    • SMF3 Executive Director (9 Dec 2019 to 25 Nov 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 28 Jul 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Jul 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 20 May 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Jul 2005 to 31 Mar 2009)
    • CF1 Director (1 Jul 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Jul 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Jul 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Jul 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (1 Jul 2005 to 30 Sep 2018)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.