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

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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.

• Elizabeth Jane Barker

  IRN EJB01162

  • 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 (1 Oct 2018 to 8 Dec 2019)
• Graham Currey

  IRN GXC00152

  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2005)
  • CF1 Director (1 Dec 2001 to 30 Sep 2005)
• Jacob John Blackmore

  IRN JJB01229

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 21 Feb 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Sep 2016 to 8 Dec 2019)
• Julie Dyer

  IRN JXD02551

  • SMF3 Executive Director (9 Dec 2019 to 28 Dec 2023)
  • CF1 Director (1 May 2018 to 8 Dec 2019)
• Keith Andrew Markwell

  IRN KAM00048

  • CF30 Customer (1 Nov 2007 to 1 Jan 2009)
  • Responsible for Insurance Mediation (14 Oct 2005 to 23 Jan 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 23 Jan 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 23 Jan 2007)
  • CF1 Director (1 Dec 2001 to 23 Jan 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 23 Jan 2007)
• Laura Blyth

  IRN LXB01975

  • CF30 Customer (1 Jan 2018 to 8 Dec 2019)
• Laurie Dawson Clark

  IRN LDC00012

  • CF30 Customer (5 Mar 2015 to 31 Dec 2016)
• MICHAEL LAWTON

  IRN MXL00078

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2025)
• Mark Andrew Barr

  IRN MAB00050

  • [FCA CF] Client dealing (9 Dec 2019 to 3 Feb 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Feb 2025)
  • CF30 Customer (24 Jun 2010 to 8 Dec 2019)
• Neil Richard Willies

  IRN NRW01057

  • CF1 Director (5 Feb 2007 to 14 Mar 2012)

No changes recorded yet.