Whiteleys Financial Management LLP

Date authorised
13 January 2021
Companies House
OC431994
Last scraped
6 days ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    155 High Street
    Aldershot
    Hampshire
    GU11 1TT
    UNITED KINGDOM
    Phone
    +441252311433

  • Complaints Contact

    155 High Street
    Aldershot
    Hampshire
    GU11 1TT
    UNITED KINGDOM
    Phone
    +441252311433

What this firm is allowed to do

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

  • P2P Lending Advice

    For Professional, Retail (Investment)

  • 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

    Show 2 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.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

  • 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.

  • 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.

  • Marc Martin

    IRN MDM00008

    • 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 27 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 27 Jan 2021)
    • SMF27 Partner (since 13 Jan 2021)
    • Responsible for Insurance Distribution (since 13 Jan 2021)
    • SMF16 Compliance Oversight (since 13 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Jan 2021)
  • Neil Dennis Hollingshead

    IRN NDH01044

    • SMF27 Partner (since 13 Jan 2021)
  • Paul Timothy Whiteley

    IRN PTW01033

    • SMF27 Partner (since 13 Jan 2021)

Recent activity

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

No changes recorded yet.