Windsor Private Office Investment Management Limited

• Principal Place of Business

  Windsor House

  Cornwall Road

  Harrogate

  North Yorkshire

  HG1 2PW

  UNITED KINGDOM

  Phone

  +442031962900

• Complaints Contact

  Windsor House

  Cornwall Road

  Harrogate

  North Yorkshire

  HG1 2PW

  UNITED KINGDOM

  Phone

  +442031962900

• 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

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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 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

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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 Professional, Retail (Investment), Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Stockbroking

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation 'debt management plans' is defined as: 'a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders'

• 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

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

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Share, 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.

• Clare Orriel

  IRN CXO01138

  • 14. Managing investments
  • 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 26 Jul 2019)
  • CF1 Director (3 Jul 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Jul 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Jul 2019 to 8 Dec 2019)
  • CF30 Customer (2 Mar 2018 to 8 Dec 2019)
• James O'Hare

  IRN JXO00001

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (26 Jun 2019 to 8 Dec 2019)
  • CF30 Customer (12 Feb 2018 to 8 Dec 2019)
• Melanie Smith

  IRN MXS02840

  • Responsible for Insurance Distribution (1 Oct 2018 to 9 Apr 2019)
  • CF11 Money Laundering Reporting (5 Dec 2017 to 9 Apr 2019)
  • CF3 Chief Executive (5 Dec 2017 to 22 Apr 2019)
  • CF30 Customer (5 Dec 2017 to 1 Aug 2018)
  • CF10 Compliance Oversight (5 Dec 2017 to 9 Apr 2019)
  • Responsible for Insurance Mediation (5 Dec 2017 to 30 Sep 2018)
  • CF1 Director (5 Dec 2017 to 9 Apr 2019)
• Ross Kevin Hyett

  IRN RKH00003

  • SMF3 Executive Director (since 26 Mar 2020)

No changes recorded yet.