Aled Williams Financial Management Ltd

Date authorised
11 July 2018
Companies House
11239142
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    7 Coed Ceirios
    Tregof Village, Swansea Vale
    Swansea
    West Glamorgan
    SA7 0NU
    UNITED KINGDOM
    Phone
    +4407533305673

  • Complaints Contact

    7 Coed Ceirios
    Tregof Village, Swansea Vale
    Swansea
    West Glamorgan
    SA7 0NU
    UNITED KINGDOM
    Phone
    +447533305673

What this firm is allowed to do

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

  • P2P Lending Advice

    For 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 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.

  • Authorised to Operate

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

  • Arranges Investments

    For 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.

  • Investment Setup

    For 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.

  • Aled Rhys Williams

    IRN ARW00040

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Mar 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Mar 2025)
    • SMF3 Executive Director (9 Dec 2019 to 31 Mar 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 31 Mar 2025)
    • CF1 Director (11 Jul 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Jul 2018 to 30 Sep 2018)
    • CF30 Customer (11 Jul 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Jul 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Jul 2018 to 8 Dec 2019)
  • Janet Williams

    IRN JXW00430

    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • Rhys Daniel Williams

    IRN RXW00256

    • 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)
    • SMF3 Executive Director (since 31 Mar 2025)
    • SMF16 Compliance Oversight (since 31 Mar 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 31 Mar 2025)
    • [FCA CF] Client dealing (since 18 Aug 2023)
    • [FCA CF] Functions requiring qualifications (since 18 Aug 2023)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)

Recent activity

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

No changes recorded yet.