Advance Wealth Limited

• Principal Place of Business

  The Mise Centre

  Broomfield Place

  189 Main Road

  Broomfield

  Chelmsford

  Essex

  CM1 7EQ

  UNITED KINGDOM

  Phone

  +4403331212129

  Web

  https://www.advancewealth.co.uk

• Complaints Contact

  The Mise Centre

  Broomfield Place

  189 Main Road

  Broomfield

  Chelmsford

  Essex

  CM1 7EQ

  UNITED KINGDOM

  Phone

  +4403331212129

• Pension Transfer Advice

  For 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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  • · 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 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

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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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Debt Advice

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  • · Limited to debt counselling which is provided in connection with investment advice
  • · This permission is limited to debt counselling with no debt management activity

• 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

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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.

• Antony John Wright

  IRN AJW00044

  • 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 13 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 13 Nov 2020)
  • CF30 Customer (20 Jun 2013 to 8 Dec 2019)
• Barbac Payne

  IRN BXP01138

  • CF30 Customer (16 Jun 2014 to 8 Jun 2018)
• Charles Robert Medwin

  IRN CXM13464

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Jul 2019 to 8 Dec 2019)
• Christopher Jon Clark

  IRN CJC01214

  • 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 13 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 13 Nov 2020)
  • [FCA CF] Significant management (since 13 Nov 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 15 Aug 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsible for Insurance Mediation (11 Mar 2009 to 30 Sep 2018)
  • CF30 Customer (11 Mar 2009 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (11 Mar 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (11 Mar 2009 to 25 Sep 2017)
  • CF1 Director (11 Mar 2009 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (11 Mar 2009 to 31 Mar 2009)
• Courtney Byrne

  IRN CXB02455

  • CF30 Customer (21 Apr 2016 to 11 Nov 2016)
• Lawrence Gregory Dean

  IRN LGD01018

  • CF30 Customer (1 Aug 2014 to 30 Apr 2018)
• Leon Osie Francis

  IRN LXF00043

  • [FCA CF] Functions requiring qualifications (14 Feb 2022 to 14 Oct 2022)
  • [FCA CF] Client dealing (14 Feb 2022 to 14 Oct 2022)
• Louis-Rhys Harvey

  IRN LXH01466

  • CF30 Customer (16 Jul 2012 to 17 Sep 2015)
• Meg Elizabeth Digweed

  IRN MXD00118

  • [FCA CF] Functions requiring qualifications (17 Nov 2020 to 17 May 2023)
  • [FCA CF] Client dealing (17 Nov 2020 to 17 May 2023)
• Michael Christopher Walsh

  IRN MCW00012

  • CF30 Customer (15 Mar 2010 to 26 Feb 2013)

• Financial E Aware Financial Services Limited (no longer appointed)

  FRN 530904 · Appointed 10 Jun 2013 · Until 16 May 2014

No changes recorded yet.