Whittaker Financial Solutions Limited

• Principal Place of Business

  2 Howard Cottages

  Sand Lane

  Warton

  Carnforth

  LA5 9NJ

  UNITED KINGDOM

  Phone

  +4401254664600

  Web

  https://www.whittakerfs.com

• Complaints Contact

  2 Howard Cottages

  Sand Lane

  Warton

  Carnforth

  LA5 9NJ

  UNITED KINGDOM

  Phone

  +4401254664600

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 pension policies with a Guaranteed Annuity Rate.

• Islamic Mortgage Advice

  For Customer, Home purchase plans

• Equity Release Advice

  For Customer, Home reversion plans

• 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Islamic Mortgage Arranging

  For Customer, Home purchase plans

• Equity Release Arranging

  For Customer, Home reversion plans

• 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 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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

• Islamic Mortgage Setup

  For Customer, Home purchase plans

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Andrew Cross

  IRN AXC00138

  • CF21 Investment Adviser (21 Jul 2005 to 22 Dec 2006)
• Angela Marie Kay

  IRN AMF01043

  • CF30 Customer (1 Nov 2007 to 11 Dec 2007)
  • CF21 Investment Adviser (1 Aug 2006 to 31 Oct 2007)
• Christopher Bradbury

  IRN CXB00127

  • CF1 Director (AR) (22 Apr 2010 to 22 Dec 2010)
  • CF30 Customer (1 Nov 2007 to 11 Mar 2019)
  • CF21 Investment Adviser (21 Jul 2005 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (21 Jul 2005 to 31 Oct 2007)
• Christopher Hesketh Jones

  IRN CHJ01020

  • 11. Pension transfer specialist
  • 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)
  • CF1 Director (AR) (since 29 Mar 2023)
  • CF30 Customer (since 25 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 3 Aug 2020)
  • [FCA CF] Client dealing (since 3 Aug 2020)
  • CF30 Customer (1 Nov 2007 to 23 Dec 2009)
  • CF1 Director (AR) (1 Oct 2006 to 23 Dec 2009)
  • CF24 Pension Transfer Specialist (23 Feb 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (23 Feb 2005 to 31 Oct 2007)
• Deborah Helm

  IRN DXH00315

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2022)
• Eden Thomas Whittaker

  IRN ETW00001

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 9A. Advising on P2P agreements
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • SMF3 Executive Director (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (since 1 Nov 2007)
  • CF1 Director (AR) (since 1 Oct 2006)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (26 Nov 2004 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (26 Nov 2004 to 31 Mar 2009)
  • CF21 Investment Adviser (26 Nov 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (26 Nov 2004 to 8 Dec 2019)
  • CF1 Director (26 Nov 2004 to 8 Dec 2019)
• Gary Stephen Ward

  IRN GSW01065

  • CF30 Customer (8 Dec 2014 to 16 Oct 2015)
• Ian Jones

  IRN IXJ00001

  • CF30 Customer (4 Aug 2017 to 25 Oct 2017)
• Lisa Estill

  IRN LME00007

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2021)
  • CF30 Customer (10 Feb 2014 to 8 Dec 2019)
• Michael John Rigg

  IRN MJR00018

  • CF30 Customer (19 Jan 2010 to 22 Dec 2010)

• Windle & Bowker Financial Solutions Ltd

  FRN 456678 · Appointed 31 Aug 2006

No changes recorded yet.