Wise Investments Ltd

• Principal Place of Business

  The Great Barn

  Chalford Park Barns

  Oxford Road

  Chipping Norton

  Oxfordshire

  OX7 5QR

  UNITED KINGDOM

  Phone

  +4401608695100

  Web

  https://www.wiseinvestment.co.uk

• Complaints Contact

  The Great Barn

  Chalford Park Barns

  Oxford Road

  Chipping Norton

  Oxfordshire

  OX7 5QR

  UNITED KINGDOM

  Phone

  +4401608695100

• 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: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Advice (no pensions)

  For Customer, 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 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Credit Brokering

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  • · Credit broking is limted to occasional arrangement of loans secured against securities portfolios.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Debt Advice

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

• 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

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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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Alexander James Roberts

  IRN AJR01439

  • 14. Managing investments
  • 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)
  • [FCA CF] Client dealing (since 3 Mar 2025)
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2025)
• Alexandra Evelina Rae

  IRN AEA01024

  • SMF16 Compliance Oversight (since 25 Jul 2024)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF3 Chief Executive (29 Jun 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (7 Jun 2017 to 30 Sep 2018)
  • CF1 Director (14 Jul 2015 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 4 Aug 2017)
  • CF21 Investment Adviser (29 Sep 2004 to 31 Oct 2007)
• Amanda Claire Sullivan

  IRN AXS04186

  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2021)
  • CF1 Director (14 Jul 2015 to 8 Dec 2019)
• Andrew Reed

  IRN AXR00630

  • [FCA CF] Client dealing (since 16 Aug 2022)
• Angus Michael Gordon Aston

  IRN AMA01055

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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)
  • 14. Managing investments
  • SMF3 Executive Director (since 1 Jul 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Mediation (16 Mar 2016 to 7 Jun 2017)
  • CF11 Money Laundering Reporting (16 Feb 2016 to 16 Oct 2017)
  • CF10 Compliance Oversight (28 Feb 2015 to 16 Oct 2017)
  • CF1 Director (3 Jan 2013 to 7 Jun 2017)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (10 Nov 2004 to 31 Oct 2007)
• Anthony John Yarrow

  IRN AJY00001

  • CF30 Customer (1 Nov 2007 to 6 Jun 2017)
  • CF11 Money Laundering Reporting (9 Dec 2005 to 27 Mar 2016)
  • CF8 Apportionment and Oversight (14 Nov 2005 to 31 Oct 2007)
  • Responsible for Insurance Mediation (14 Jan 2005 to 21 Jan 2016)
  • CF21 Investment Adviser (11 Oct 2004 to 31 Oct 2007)
  • CF10 Compliance Oversight (29 Sep 2004 to 1 Nov 2004)
  • CF1 Director (29 Sep 2004 to 28 Apr 2017)
  • CF27 Investment Management (29 Sep 2004 to 31 Oct 2007)
• Ben Peters

  IRN BXP01339

  • CF1 Director (28 Dec 2012 to 28 Apr 2017)
  • CF10 Compliance Oversight (1 Nov 2011 to 28 Feb 2015)
  • CF30 Customer (6 Dec 2010 to 6 Jun 2017)
• Christopher John Rigbye

  IRN CXR00219

  • [FCA CF] Material risk taker (9 Dec 2019 to 28 Apr 2023)
• Claude Bernard Francois Laugier

  IRN CBL00001

  • CF30 Customer (1 Nov 2007 to 19 Dec 2008)
  • CF21 Investment Adviser (1 Jan 2005 to 31 Oct 2007)
• David Alan Jones

  IRN DAJ01133

  • [FCA CF] Manager of certification employee (17 Jun 2024 to 12 Mar 2026)

No changes recorded yet.