4wealth Ltd

Date authorised
4 December 2015
Companies House
04668130
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    361 Rayleigh Road
    Leigh-on-Sea
    Essex
    SS9 5PS
    UNITED KINGDOM
    Phone
    +4407379542788
    Web
    https://4wealthifa.com

  • Complaints Contact

    361 Rayleigh Road
    Leigh-on-Sea
    Essex
    SS9 5PS
    UNITED KINGDOM
    Phone
    +4407379542788

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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 2 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.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

  • 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, Option (excluding a commodity option and an option on a commodity future), 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
    • · 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.

  • 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

  • Buy-to-Let Start Date

  • Buy-to-Let End Date

  • Buy-to-Let Status

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · 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”.

  • Consumer Loans

    Show 1 limitation
    • · Limited to Lending without interest or charges for adviser fees only.

  • Loan Servicing

  • 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David Broome

    IRN DXB00175

    • 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] Functions requiring qualifications (since 10 Nov 2020)
    • [FCA CF] Client dealing (since 10 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsible for Insurance Mediation (16 Jul 2014 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (8 Oct 2010 to 2 May 2013)
    • CF1 Director (8 Oct 2010 to 8 Dec 2019)
    • CF30 Customer (8 Oct 2010 to 8 Dec 2019)
  • Declan Kelly

    IRN DXK01397

    • [FCA CF] Functions requiring qualifications (10 Nov 2020 to 26 May 2021)
    • SMF3 Executive Director (9 Dec 2019 to 13 Aug 2021)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 25 May 2021)
    • CF1 Director (8 Oct 2010 to 8 Dec 2019)
  • Ian Stephen Fleetwood Smith

    IRN ISS00005

    • 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 10 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 10 Nov 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (8 Oct 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (8 Oct 2010 to 8 Dec 2019)
    • CF30 Customer (8 Oct 2010 to 8 Dec 2019)
  • Kevin Paul Buckland

    IRN KPB00014

    • CF30 Customer (1 Feb 2013 to 30 Jun 2014)
    • CF1 Director (8 Oct 2010 to 30 Jun 2014)
  • Michael Anthony Hodges

    IRN MAH00079

    • CF11 Money Laundering Reporting (17 May 2013 to 30 Jun 2014)
    • Responsible for Insurance Mediation (8 Oct 2010 to 30 Jun 2014)
    • CF1 Director (8 Oct 2010 to 30 Jun 2014)
    • CF30 Customer (8 Oct 2010 to 23 Dec 2010)
  • Michael Anthony McGill

    IRN MAM00025

    • CF30 Customer (11 Jul 2011 to 28 Nov 2014)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.