Adrian Smith Wealth Management Limited

Date authorised
1 October 2015
Companies House
09423185
Last scraped
1 day ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    15 Olympic Court
    Boardmans Way
    Blackpool
    Lancashire
    FY4 5GU
    UNITED KINGDOM
    Phone
    +441253535535
    Web
    https://www.aswealthmgt.co.uk

  • Complaints Contact

    15 Olympic Court
    Boardmans Way
    Blackpool
    Lancashire
    FY4 5GU
    UNITED KINGDOM
    Phone
    +441253535535

What this firm is allowed to do

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

  • P2P Lending Advice

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

  • Pension Transfer Advice

    For Retail (Investment), Professional, Personal pension scheme, Stakeholder pension scheme, Rights to or interests in investments (Contractually Based Investments), Unit, Rights to or interests in investments (Security), Life Policy

    Show 1 limitation
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

  • Investment Advice (no pensions)

    For Retail (Investment), Professional, Retail (Non-Investment Insurance), Commercial, Structured Deposits, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Life Policy, Rights to or interests in investments (Security), Personal pension scheme, Stakeholder pension scheme, Debenture, Unit, Certificates representing certain security, Warrant, Government and public security, Share

    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.

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Retail (Investment), Professional, Retail (Non-Investment Insurance), Structured Deposits, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Life Policy, Rights to or interests in investments (Security), Personal pension scheme, Stakeholder pension scheme, Debenture, Unit, Certificates representing certain security, Warrant, Government and public security, Share

    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.

  • Insurance Admin

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

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management activity

  • Investment Setup

    For Commercial, Retail (Investment), Professional, Retail (Non-Investment Insurance), Structured Deposits, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Life Policy, Rights to or interests in investments (Security), Personal pension scheme, Stakeholder pension scheme, Debenture, Unit, Certificates representing certain security, Warrant, Government and public security, Share

    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.

  • Adrian Hugh Smith

    IRN AHS00003

    • (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (2)4. Giving personal recommendations on retail investment products which are not broker funds
    • (7)[FCA CF] Client dealing (since 9 Dec 2019)
    • (8)[FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • (6)SMF3 Executive Director (since 9 Dec 2019)
    • (4)SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • (5)SMF16 Compliance Oversight (since 9 Dec 2019)
    • (3)Responsible for Insurance Distribution (since 1 Oct 2018)
    • (11)[FCA CF] Manager of certification employee (9 Dec 2019 to 21 Dec 2020)
    • (8)CF30 Customer (1 Oct 2015 to 8 Dec 2019)
    • (9)CF11 Money Laundering Reporting (1 Oct 2015 to 8 Dec 2019)
    • (12)CF1 Director (1 Oct 2015 to 8 Dec 2019)
    • (10)CF10 Compliance Oversight (1 Oct 2015 to 8 Dec 2019)
    • (7)Responsible for Insurance Mediation (1 Oct 2015 to 30 Sep 2018)
  • Alexander David Smith

    IRN ADS01228

    • (2)SMF3 Executive Director (9 Dec 2019 to 12 Feb 2020)
    • (3)CF1 Director (1 Oct 2015 to 8 Dec 2019)
  • Michael James Tuxford

    IRN MJT01237

    • (5)[FCA CF] Client dealing (9 Dec 2019 to 29 Apr 2026)
    • (6)[FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Apr 2026)
    • (4)CF30 Customer (14 Jun 2016 to 8 Dec 2019)
  • Michelle Louise Smith

    IRN MLS01130

    • (1)CF1 Director (1 Oct 2015 to 16 Nov 2016)

Recent activity

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

  1. controlled function added: (7)[FCA CF] Client dealing

  2. controlled function added: (6)SMF3 Executive Director

  3. controlled function added: (5)SMF16 Compliance Oversight

  4. controlled function added: (4)SMF17 Money Laundering Reporting Officer (MLRO)

  5. controlled function added: (3)Responsible for Insurance Distribution

  6. controlled function added: (2)4. Giving personal recommendations on retail investment products which are not broker funds

  7. controlled function added: (1)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)

  8. controlled function added: (12)CF1 Director

  9. controlled function added: (11)[FCA CF] Manager of certification employee

  10. controlled function added: (8)[FCA CF] Functions requiring qualifications

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