Williams Investment Management LLP

• Principal Place of Business

  34 Victoria Avenue

  Harrogate

  North Yorkshire

  HG1 5PR

  UNITED KINGDOM

  Phone

  +4401423705123

  Web

  https://www.williams-im.com

• Complaints Contact

  34 Victoria Avenue

  Harrogate

  North Yorkshire

  HG1 5PR

  UNITED KINGDOM

  Phone

  +4401423705123

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Abigail Ostler

  IRN AXO00319

  • [FCA CF] Client dealing (since 1 Oct 2024)
• Carl James Bushby

  IRN CJB01167

  • CF30 Customer (1 Nov 2007 to 1 Jul 2012)
  • CF26 Customer Trading (9 Feb 2007 to 31 Oct 2007)
• Charles Neil Thompson

  IRN CNT01011

  • CF30 Customer (1 Nov 2007 to 15 Sep 2008)
  • CF21 Investment Adviser (22 Oct 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (16 Jan 2007 to 22 Oct 2007)
  • CF27 Investment Management (16 Jan 2007 to 31 Oct 2007)
• Denis Kaye

  IRN DSK01035

  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Dec 2019)
  • CF4 Partner (3 May 2005 to 8 Dec 2019)
• Duncan Williams

  IRN DCW01055

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 May 2005 to 31 May 2005)
  • CF21 Investment Adviser (3 May 2005 to 31 Oct 2007)
  • CF27 Investment Management (3 May 2005 to 31 Oct 2007)
  • CF4 Partner (3 May 2005 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 May 2005 to 11 Mar 2015)
  • CF8 Apportionment and Oversight (3 May 2005 to 31 Oct 2007)
  • CF10 Compliance Oversight (3 May 2005 to 31 May 2005)
• Emma Chisholm

  IRN ELK01009

  • SMF16 Compliance Oversight (3 Nov 2023 to 1 May 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (31 Jan 2023 to 1 May 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jul 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 3 Nov 2023)
  • CF30 Customer (14 Sep 2016 to 8 Dec 2019)
  • CF29 Significant management (6 Jul 2011 to 8 Dec 2019)
• John Newsome

  IRN JEN01012

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 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)
  • SMF27 Partner (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (22 Oct 2007 to 31 Oct 2007)
  • CF4 Partner (22 Oct 2007 to 8 Dec 2019)
  • CF27 Investment Management (22 Oct 2007 to 31 Oct 2007)
• Robert Ash

  IRN RDA01013

  • [FCA CF] Functions requiring qualifications (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 1 Feb 2023)
  • SMF27 Partner (9 Dec 2019 to 19 Sep 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 19 Sep 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (31 May 2005 to 8 Dec 2019)
  • CF10 Compliance Oversight (31 May 2005 to 8 Dec 2019)
  • CF4 Partner (31 May 2005 to 8 Dec 2019)
  • CF27 Investment Management (3 May 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (3 May 2005 to 31 Oct 2007)
• Steven John Wild

  IRN SJW01202

  • CF30 Customer (15 Apr 2008 to 1 Jul 2012)
• Valerie Irvine Wade

  IRN VIL01002

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 27 Oct 2023)
  • [FCA CF] Client dealing (since 2 Oct 2023)
  • CF30 Customer (15 Oct 2008 to 26 Aug 2016)

No changes recorded yet.