Whitings Wealth Management Limited

Date authorised
1 April 2013
Companies House
03146257
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

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), Retail (Non-Investment Insurance)

  • Pension Transfer Advice

    For Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

  • Investment Advice (no pensions)

    For 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 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
    • · This permission is limited to debt counselling with no debt management activity

  • Investment Setup

    For 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.

  • Adrian James MacKenzie

    IRN AJM01423

    • 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
    • 11. Pension transfer specialist
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (26 Sep 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Oct 2005 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (3 Oct 2005 to 31 Oct 2007)
  • Andrew Roy Band

    IRN ARB01310

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • CF2 Non Executive Director (5 Aug 2019 to 8 Dec 2019)
    • CF1 Director (6 Aug 2018 to 5 Aug 2019)
  • Christopher David Ridgeon

    IRN CDR01055

    • SMF9 Chair of the Governing Body (since 25 Jul 2022)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • CF2 Non Executive Director (1 Aug 2019 to 8 Dec 2019)
    • CF1 Director (28 Apr 2010 to 1 Aug 2019)
  • David Daniel Salmon

    IRN DDS00007

    • 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
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (3 Oct 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Oct 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Oct 2005 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Oct 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (3 Oct 2005 to 31 Mar 2009)
    • Responsible for Insurance Mediation (3 Oct 2005 to 30 Sep 2018)
  • James Matthew Gaston

    IRN JMG00031

    • 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)
    • 11. Pension transfer specialist
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (7 Aug 2008 to 8 Dec 2019)
  • Jeremy James Harrison

    IRN JJH01158

    • CF1 Director (6 May 2010 to 28 Jun 2018)
  • Mark Norman Haydon

    IRN MNH00005

    • SMF9 Chair of the Governing Body (9 Dec 2019 to 31 Mar 2022)
    • CF2 Non Executive Director (1 Aug 2019 to 8 Dec 2019)
    • CF1 Director (3 Oct 2005 to 1 Aug 2019)
  • Noel Andrew Ernest Handley

    IRN NXH00076

    • CF1 Director (3 Oct 2005 to 31 Mar 2010)
  • Paul Michael Jefferson

    IRN PXJ00180

    • Director of firm who is not a certification employee or a SMF manager (since 18 May 2022)
  • Richard John Franks

    IRN RJF00038

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 May 2018 to 8 Dec 2019)
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Recent activity

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

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