Womble Bond Dickinson Wealth Limited

• Principal Place of Business

  The Spark

  Draymans Way

  Newcastle Helix

  Newcastle upon Tyne

  Tyne and Wear

  NE4 5DE

  UNITED KINGDOM

  Phone

  +4434554155251

  Web

  https://www.womblebonddickinsonwealth.com

• Complaints Contact

  The Spark

  Draymans Way

  Newcastle Helix

  Newcastle upon Tyne

  Tyne and Wear

  NE4 5DE

  UNITED KINGDOM

  Phone

  +4434554155251

• Pension Transfer Advice

  For Eligible Counterparty, 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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  • · 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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, 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.

• 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, Eligible Counterparty, 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

  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.

• Investment Setup

  For Commercial, Eligible Counterparty, 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

  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.

• Basic Pension Advice

  For Professional, Retail (Investment), Stakeholder products

• Jody Collins

  IRN JXC01161

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 27 Apr 2023)
  • [FCA CF] Functions requiring qualifications (since 27 Apr 2023)
• Joe Long

  IRN JXL07323

  • 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 (19 Oct 2018 to 8 Dec 2019)
• John Philip Birkett Marshall

  IRN JPM01352

  • CF1 Director (1 May 2013 to 30 Jun 2016)
• Kevin Gray

  IRN KXG01144

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 30 Jun 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 30 Jun 2020)
  • SMF3 Executive Director (9 Dec 2019 to 30 Jun 2020)
  • CF10a CASS Oversight function (27 Jul 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (18 Jun 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 May 2013 to 8 Dec 2019)
  • CF1 Director (1 May 2013 to 8 Dec 2019)
• Lauren Taylor-Robson

  IRN LXT00080

  • [FCA CF] Significant management (since 6 Apr 2020)
  • [FCA CF] Manager of certification employee (since 6 Apr 2020)
• Leslie Hamilton

  IRN LXH01492

  • SMF3 Executive Director (since 4 Aug 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Aug 2020)
  • [FCA CF] Significant management (since 20 Apr 2020)
  • [FCA CF] Material risk taker (since 20 Apr 2020)
  • [FCA CF] Manager of certification employee (since 20 Apr 2020)
  • SMF16 Compliance Oversight (since 16 Apr 2020)
  • [FCA CF] CASS oversight function (20 Apr 2020 to 30 Sep 2021)
  • CF30 Customer (23 Apr 2014 to 8 Dec 2019)
• Michelle Dodd

  IRN MXD01648

  • CF30 Customer (1 May 2013 to 9 Aug 2013)
• Neil Burnett

  IRN NSB01044

  • 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 (12 Jun 2013 to 8 Dec 2019)
• Robert David Brotherton

  IRN RDB01157

  • [FCA CF] Functions requiring qualifications (21 Sep 2022 to 16 Jun 2023)
• Roy Davidson

  IRN RXD00038

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 May 2013 to 8 Dec 2019)

No changes recorded yet.