Woolley & Harris Independent Financial Advisers Limited

• Principal Place of Business

  663 High Street

  Kingswinford

  West Midlands

  DY6 8AL

  UNITED KINGDOM

  Phone

  +4401384402362

• Complaints Contact

  663 High Street

  Kingswinford

  West Midlands

  DY6 8AL

  UNITED KINGDOM

  Phone

  +4401384402362

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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

  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 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, 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages and second charge mortgage

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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, 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.

• Credit Score Services

  Show 1 limitation Hide limitations

  • · This permission is limited to not carrying out credit repair services

• Ian Michael Willcox

  IRN IXW00033

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Mark Kenneth Jeavons

  IRN MKJ00002

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Oct 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Oct 2024)
  • CF30 Customer (22 Jun 2016 to 8 Dec 2019)
• Nigel Peter Harris

  IRN NPH00005

  • 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)
  • 9A. Advising on P2P agreements
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (21 Jun 2010 to 31 Dec 2012)
  • CF11 Money Laundering Reporting (21 Jun 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (21 Jun 2010 to 8 Dec 2019)
  • CF1 Director (21 Jun 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (21 Jun 2010 to 30 Sep 2018)
• Stephen John Simonds

  IRN SJS01214

  • CF30 Customer (21 Jun 2010 to 11 Jan 2012)
• Stephen Shepheard

  IRN SXS00163

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Wendy Jarvis

  IRN WXJ01017

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2024)
  • CF30 Customer (2 Apr 2012 to 8 Dec 2019)

No changes recorded yet.