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.

• Nicholas Cyril Smith

  IRN NCS00004

  • SMF16 Compliance Oversight (9 Dec 2019 to 23 Oct 2024)
  • CF10 Compliance Oversight (20 Sep 2017 to 8 Dec 2019)
• Paul Francis McCaffrey

  IRN PXM00405

  • 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 2 Sep 2021)
  • [FCA CF] Functions requiring qualifications (since 2 Sep 2021)
• Paula Lynne Whitehead

  IRN PLW00002

  • SMF16 Compliance Oversight (since 23 Oct 2024)
• Rebecca Jade Welthy

  IRN RJW01388

  • [FCA CF] Client dealing (1 Sep 2021 to 8 Nov 2021)
  • [FCA CF] Functions requiring qualifications (1 Sep 2021 to 8 Nov 2021)
• Richard Derek Clayton

  IRN RDC01108

  • CF30 Customer (4 May 2015 to 20 Jul 2015)
• Richard Paul Brett

  IRN RPB01144

  • 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 13 Nov 2020)
  • [FCA CF] Client dealing (since 13 Nov 2020)
  • CF30 Customer (11 Oct 2013 to 8 Dec 2019)
• Rongu Miah

  IRN RXM00173

  • 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 (22 Jan 2016 to 8 Dec 2019)
• Samuel Oluwasegun Fadimilehin

  IRN SXF00325

  • [FCA CF] Client dealing (6 Jun 2022 to 18 Jul 2023)
  • [FCA CF] Functions requiring qualifications (6 Jun 2022 to 18 Jul 2023)
• Sean Charles Mitchell

  IRN SXM00393

  • [FCA CF] Functions requiring qualifications (25 Jan 2021 to 1 Jul 2021)
  • [FCA CF] Client dealing (25 Jan 2021 to 1 Jul 2021)
• Sheetal Jain

  IRN SXJ00235

  • 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 9 Aug 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Aug 2021)

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

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

No changes recorded yet.