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

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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

  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.

• James Richard Erasmus

  IRN JXE09006

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 6 Feb 2026)
  • [FCA CF] Client dealing (since 6 Feb 2026)
• Jamie Evans

  IRN JXE00270

  • 11. Pension transfer specialist
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 20 Feb 2023)
• Jane Amanda Alford

  IRN JAA01217

  • CF30 Customer (30 Oct 2017 to 30 Apr 2018)
• John Keith Hitchcock

  IRN JKH01061

  • [FCA CF] Functions requiring qualifications (1 Feb 2023 to 31 Oct 2023)
• Joshua Walker

  IRN JXW86147

  • [FCA CF] Client dealing (3 Jan 2023 to 4 Jul 2024)
  • [FCA CF] Functions requiring qualifications (3 Jan 2023 to 4 Jul 2024)
• Karen Michele Dawson

  IRN KMD01069

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Aug 2022)
  • CF30 Customer (17 Oct 2017 to 8 Dec 2019)
• Keith Arthur Wrightson

  IRN KAW00008

  • Responsible for Insurance Distribution (1 Oct 2018 to 29 Nov 2018)
  • Responsible for Insurance Mediation (22 Sep 2014 to 30 Sep 2018)
  • CF30 Customer (22 Sep 2014 to 29 Nov 2018)
  • CF11 Money Laundering Reporting (22 Sep 2014 to 29 Nov 2018)
  • CF10 Compliance Oversight (22 Sep 2014 to 29 Nov 2018)
  • CF1 Director (22 Sep 2014 to 29 Nov 2018)
• Kevin Brian Senior

  IRN KXS01624

  • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 1 Sep 2021)
• Kevin Finlayson

  IRN KXF00021

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 May 2025)
  • SMF16 Compliance Oversight (since 9 May 2025)
  • [FCA CF] Functions requiring qualifications (since 20 Jul 2021)
  • SMF18 Other Overall Responsibility (19 Oct 2021 to 23 Sep 2024)
• Kieran Lee Mark Ball

  IRN KLB01085

  • 11. Pension transfer specialist
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 14 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (17 Oct 2017 to 8 Dec 2019)

No changes recorded yet.