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.

• David Richard Burrell

  IRN DXB16953

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (11 Jul 2019 to 8 Dec 2019)
• David Stephenson

  IRN DXS00032

  • CF30 Customer (1 Nov 2007 to 6 Jun 2017)
  • CF10 Compliance Oversight (23 Nov 2005 to 1 Apr 2010)
  • CF24 Pension Transfer Specialist (29 Sep 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (29 Sep 2004 to 31 Oct 2007)
  • CF1 Director (29 Sep 2004 to 18 Dec 2012)
  • CF27 Investment Management (29 Sep 2004 to 31 Oct 2007)
• Deborah Dawn Dunks

  IRN DXD00178

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Jun 2024)
• Gemma Tracey Chambers

  IRN GXC00424

  • SMF17 Money Laundering Reporting Officer (MLRO) (1 Jan 2023 to 31 Jul 2024)
  • SMF16 Compliance Oversight (1 Jan 2023 to 31 Jul 2024)
• Gillian Robson

  IRN GXR00288

  • Director of firm who is not a certification employee or a SMF manager (since 1 May 2023)
  • [FCA CF] Material risk taker (1 May 2023 to 17 Jun 2024)
• Hannah Hewitt

  IRN HXH00282

  • [FCA CF] Functions requiring qualifications (1 Apr 2024 to 3 Jan 2025)
  • [FCA CF] Client dealing (1 Apr 2024 to 3 Jan 2025)
• Heather Marny Cooper-Harris

  IRN HMC01033

  • CF1 Director (29 Sep 2004 to 28 Apr 2017)
• Heidi Wozniak

  IRN HXS00257

  • 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
  • 14. Managing investments
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 29 Apr 2025)
  • [FCA CF] Client dealing (since 31 Mar 2022)
• Hugh William Yarrow

  IRN HWY01000

  • Director of firm who is not a certification employee or a SMF manager (1 Nov 2021 to 31 Dec 2022)
  • CF1 Director (21 Dec 2012 to 28 Apr 2017)
  • CF30 Customer (1 Sep 2009 to 6 Jun 2017)
• James Kristian Theill Payne

  IRN JKP01018

  • 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
  • 14. Managing investments
  • 7. Giving personal recommendations on long-term care insurance contracts
  • SMF3 Executive Director (since 1 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (24 Apr 2006 to 31 Oct 2007)

No changes recorded yet.