WPS ADVISORY Ltd

• Principal Place of Business

  W P S Advisory Ltd

  Suite A, 5th Floor

  West One

  Forth Banks

  Newcastle Upon Tyne

  NE1 3PA

  UNITED KINGDOM

  Phone

  +441332220777

  Web

  https://www.wpsadvisory.com

• Complaints Contact

  W P S Advisory Ltd

  West One

  Forth Banks

  Newcastle Upon Tyne

  NE1 3PA

  UNITED KINGDOM

  Phone

  +441332220777

• 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, 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts, Structured Deposits

• 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.

• David Bernstein

  IRN DXB00047

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Apr 2024)
  • CF30 Customer (18 Oct 2017 to 8 Dec 2019)
• David Christopher Moore

  IRN DCM01143

  • SMF11 Chair of the Audit Committee (1 May 2020 to 23 Sep 2024)
  • SMF14 Senior Independent Director (1 May 2020 to 23 Sep 2024)
• David Ross Quinn

  IRN DRQ00005

  • CF30 Customer (30 Oct 2017 to 24 Nov 2017)
• David Thomas Jones

  IRN DTJ00001

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Mar 2021)
  • CF30 Customer (1 Nov 2017 to 8 Dec 2019)
• Dominique Naomi Harris

  IRN DNL01015

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 11 Feb 2022)
  • CF30 Customer (30 Oct 2017 to 8 Dec 2019)
• Emma Gregory

  IRN EXG09971

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 22 Jan 2021)
  • CF30 Customer (7 Jan 2019 to 8 Dec 2019)
• Gary James Stewart

  IRN GJS01165

  • CF30 Customer (30 Oct 2017 to 11 Oct 2018)
• Ian Waddell

  IRN IXW00013

  • [FCA CF] Client dealing (1 Dec 2021 to 30 May 2025)
  • [FCA CF] Functions requiring qualifications (1 Dec 2021 to 30 May 2025)
• James Andrew Howell-Manning

  IRN JAM01434

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (30 Oct 2017 to 8 Dec 2019)
• James David Ellison

  IRN JDE01044

  • SMF24 Chief Operations (13 Oct 2020 to 23 Sep 2024)
  • SMF5 Head of Internal Audit (13 Oct 2020 to 23 Sep 2024)

No changes recorded yet.