ALPHA WEALTH LIMITED

• Principal Place of Business

  1 St. Colme St

  Edinburgh

  Midlothian

  EH3 6AA

  UNITED KINGDOM

  Phone

  +4401312021313

  Web

  https://www.alphaifa.com

• Complaints Contact

  1 St. Colme St

  Edinburgh

  Midlothian

  EH3 6AA

  UNITED KINGDOM

  Phone

  +4401312021313

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• Equity Release Advice

  For Customer, Home reversion plans

• 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, Unit, Warrant

  Show 1 limitation Hide 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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

• Equity Release Arranging

  For Customer, Home reversion plans

• 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, Unit, Warrant

  Show 1 limitation Hide 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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, Unit, Warrant

  Show 1 limitation Hide 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.

• James Keith Barron

  IRN JKB01062

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 11. Pension transfer specialist
  • [FCA CF] Client dealing (since 9 May 2024)
  • [FCA CF] Functions requiring qualifications (since 30 Mar 2024)
• Lina Korobko

  IRN LXK01215

  • CF30 Customer (27 May 2011 to 31 Dec 2012)
• Roger James Bailey

  IRN RJB01201

  • CF1 Director (AR) (15 Nov 2017 to 5 Oct 2018)
  • CF30 Customer (15 Nov 2017 to 5 Oct 2018)
• Ross McLellan

  IRN RXM01482

  • CF1 Director (AR) (3 Mar 2017 to 5 Oct 2018)
  • CF30 Customer (4 Mar 2011 to 31 Dec 2012)
• Scott Mackintosh

  IRN SXM00218

  • 17. Administrative functions in relation to managing investments
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • [FCA CF] Client dealing (since 20 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 17 Jul 2023)
• Scott Symon Pentleton

  IRN SSP00005

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Significant management (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 13 May 2016)
  • Responsible for Insurance Mediation (20 Oct 2010 to 30 Sep 2018)
  • CF1 Director (18 Oct 2010 to 8 Dec 2019)
  • CF30 Customer (18 Oct 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (18 Oct 2010 to 8 Dec 2019)
  • CF10 Compliance Oversight (18 Oct 2010 to 8 Dec 2019)

• South Esk Investments (no longer appointed)

  FRN 759169 · Appointed 22 Sep 2016 · Until 6 Nov 2018

• Orcap Project Finance Limited (no longer appointed)

  FRN 544705 · Appointed 4 Apr 2011 · Until 14 Jun 2016

No changes recorded yet.