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.

• Michael Diston

  IRN MXD00024

  • 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] Functions requiring qualifications (since 16 Mar 2026)
  • [FCA CF] Client dealing (since 16 Mar 2026)
• Natascha Cavers

  IRN NXU01028

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 2 Oct 2023)
  • [FCA CF] Client dealing (since 2 Oct 2023)
• Nicole Harrington

  IRN NXH01739

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Jan 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jan 2023)
  • CF11 Money Laundering Reporting (16 Oct 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (16 Oct 2017 to 8 Dec 2019)
• Richard John Taylor

  IRN RJT01075

  • [FCA CF] Material risk taker (4 Feb 2020 to 31 Dec 2022)
• Thomas Partridge

  IRN TXP00346

  • 14. Managing investments
  • [FCA CF] Client dealing (since 18 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 18 Nov 2024)
• Timothy Andrew Cole

  IRN TAC00006

  • CF30 Customer (1 Jul 2009 to 3 Oct 2014)
• William Geffen

  IRN WXG16765

  • 14. Managing investments
  • [FCA CF] Client dealing (since 1 Jun 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2024)

No changes recorded yet.