Wills & Trusts Independent Financial Planning Limited

• Principal Place of Business

  91-92 High Street

  Thame

  Oxon

  OX9 3EH

  UNITED KINGDOM

  Phone

  +4401844212907

• Complaints Contact

  91-92 High Street

  Thame

  Oxon

  OX9 3EH

  UNITED KINGDOM

  Phone

  +4401844212907

• P2P Lending Advice

  For Commercial, 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

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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 Advice (no pensions)

  For Commercial, 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.

• Authorised to Operate

  For Retail (Investment)

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

• Arranges Investments

  For Commercial, 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.

• Credit Brokering

• Investment Setup

  For Commercial, 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.

• Alison Parker

  IRN AJP01390

  • [FCA CF] Client dealing (9 Dec 2019 to 24 May 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 May 2024)
  • CF30 Customer (5 Apr 2012 to 8 Dec 2019)
• Caroline Joy McQuade

  IRN CJM00014

  • CF30 Customer (1 Nov 2007 to 31 Mar 2008)
  • CF21 Investment Adviser (23 Jun 2004 to 31 Oct 2007)
• David Stephen Batchelor

  IRN DSB00006

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 26 Apr 2016)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Apr 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Apr 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (17 Jun 2003 to 31 Oct 2007)
  • CF3 Chief Executive (17 Jun 2003 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (17 Jun 2003 to 31 Mar 2009)
  • CF10 Compliance Oversight (17 Jun 2003 to 8 Dec 2019)
  • CF1 Director (17 Jun 2003 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (17 Jun 2003 to 31 Oct 2007)
• Dean Hobbs

  IRN DGH01099

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 May 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 May 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 May 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)
• Douglas James Woodward

  IRN DXW00349

  • [FCA CF] Client dealing (26 May 2021 to 1 Dec 2023)
  • [FCA CF] Functions requiring qualifications (26 May 2021 to 1 Dec 2023)
• Jennifer Woods

  IRN JAH01493

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Aug 2018 to 8 Dec 2019)
• Jonathan Anderson

  IRN JRA01103

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 9 Aug 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Aug 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Aug 2023)
• Jonathan Rayner

  IRN JXR00443

  • [FCA CF] Client dealing (23 Sep 2021 to 11 Oct 2022)
  • [FCA CF] Functions requiring qualifications (23 Sep 2021 to 11 Oct 2022)
• Kelly Selby

  IRN KXG10946

  • CF30 Customer (29 Jan 2019 to 23 Aug 2019)
• Lee Humphrey

  IRN LXH19116

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Jun 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Jun 2023)
  • CF30 Customer (23 Aug 2019 to 8 Dec 2019)

No changes recorded yet.