WOODWARD MARKWELL FINANCIAL ADVISERS LTD

• Principal Place of Business

  Friars House

  2 Falcon Street

  Ipswich

  Suffolk

  IP1 1SL

  UNITED KINGDOM

  Phone

  +4401473408422

  Web

  https://www.woodwardmarkwell.co.uk

• Complaints Contact

  Friars House

  2 Falcon Street

  Ipswich

  Suffolk

  IP1 1SL

  UNITED KINGDOM

  Phone

  +4401473408422

• 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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  • · 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 Advice (no pensions)

  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.

• 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.

• 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 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

  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.

• Andrew Joseph Johnson

  IRN AJJ01083

  • SMF3 Executive Director (9 Dec 2019 to 3 Aug 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 25 Nov 2019)
  • Responsible for Insurance Mediation (17 Nov 2006 to 30 Sep 2018)
  • CF8 Apportionment and Oversight (17 Nov 2006 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (17 Nov 2006 to 25 Nov 2019)
  • CF10 Compliance Oversight (17 Nov 2006 to 25 Nov 2019)
  • CF1 Director (14 Mar 2006 to 8 Dec 2019)
• Beverley Jane Monk

  IRN BJM01224

  • SMF3 Executive Director (9 Dec 2019 to 3 Aug 2022)
  • CF1 Director (8 Nov 2017 to 8 Dec 2019)
• Charlie Ann McLean

  IRN CAM01268

  • CF30 Customer (6 Jan 2015 to 2 May 2019)
• Christopher Jeffrey Alcock

  IRN CXA81367

  • 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
  • [FCA CF] Client dealing (since 2 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 2 Oct 2024)
• Colin Ian Low

  IRN CIL01006

  • CF30 Customer (4 Mar 2008 to 23 Jun 2010)
• Daniel Fox

  IRN DXF00163

  • [FCA CF] Functions requiring qualifications (16 Jul 2021 to 12 Sep 2025)
  • [FCA CF] Client dealing (16 Jul 2021 to 12 Sep 2025)
• Daryl Faye Franklin

  IRN DFF00002

  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• David McGowan

  IRN DXM03109

  • SMF17 Money Laundering Reporting Officer (MLRO) (21 Jan 2020 to 3 Aug 2022)
  • SMF16 Compliance Oversight (21 Jan 2020 to 3 Aug 2022)
  • SMF3 Executive Director (9 Dec 2019 to 3 Aug 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 3 Aug 2022)
  • Responsible for Insurance Mediation (1 May 2018 to 30 Sep 2018)
  • CF1 Director (1 May 2018 to 8 Dec 2019)
• David Wolverson

  IRN DXW01498

  • CF1 Director (8 Feb 2007 to 14 Mar 2012)
• Davina Anne Olson

  IRN DAB01216

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 11. Pension transfer specialist
  • 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)
  • SMF16 Compliance Oversight (since 29 Jul 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 29 Jul 2022)
  • Responsible for Insurance Distribution (since 29 Jul 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (1 May 2018 to 8 Dec 2019)
  • CF30 Customer (10 May 2010 to 8 Dec 2019)

No changes recorded yet.