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.

• Paul Ronald Moore Terrington

  IRN PRT00019

  • CF30 Customer (18 Oct 2017 to 19 Nov 2019)
• Peter Bryan Hobbs

  IRN PBH01061

  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • SMF12 Chair of the Remuneration Committee (9 Dec 2019 to 23 Sep 2024)
  • CF2 Non Executive Director (5 Oct 2018 to 8 Dec 2019)
• Petronella Violet Anne Dunne

  IRN PVD00013

  • 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)
• Richard James Brace

  IRN RJB01604

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Feb 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 20 Feb 2024)
  • CF30 Customer (17 Oct 2017 to 8 Dec 2019)
• Richard Leslie Walter

  IRN RLW00001

  • SMF17 Money Laundering Reporting Officer (MLRO) (24 Jul 2023 to 21 Apr 2025)
  • SMF16 Compliance Oversight (24 Jul 2023 to 21 Apr 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2025)
  • CF29 Significant management (7 Nov 2017 to 8 Dec 2019)
  • CF30 Customer (30 Oct 2017 to 8 Dec 2019)
• Russell Hartle

  IRN RXH06979

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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 3 Oct 2022)
• Samuel Raymond Withers-Metcalfe

  IRN SRM01169

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Feb 2021)
  • CF30 Customer (17 Oct 2017 to 8 Dec 2019)
• Sandra Jessica Olayinka Abayomi

  IRN SJA01167

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Jan 2022)
  • CF30 Customer (17 Oct 2017 to 8 Dec 2019)
• Sarah Elizabeth West

  IRN SEW00031

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Nov 2021)
  • CF30 Customer (18 Oct 2017 to 8 Dec 2019)
• Sarah Louise Nelis

  IRN SLN01036

  • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 30 Apr 2021)

No changes recorded yet.