Arundel Wealth Management Limited

• Principal Place of Business

  Arundel Wealth Management Ltd

  The Atrium Business Centre

  Curtis Road

  Dorking

  Surrey

  RH4 1XA

  UNITED KINGDOM

  Phone

  +4403456434051

  Web

  https://www.arundelwealth.co.uk

• Complaints Contact

  Arundel Wealth Management Ltd

  The Atrium Business Centre

  Curtis Road

  Dorking

  Surrey

  RH4 1XA

  UNITED KINGDOM

  Phone

  +4403456434051

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

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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 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.

• 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.

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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, Structured Deposits, 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.

• Alan Graham Smith

  IRN AGS01124

  • CF3 Chief Executive (14 May 2007 to 28 Jul 2009)
• Alec James Stewart

  IRN AJS01556

  • CF1 Director (14 May 2007 to 28 Jul 2009)
• David Carroll

  IRN DXC01482

  • 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 23 Nov 2021)
  • [FCA CF] Client dealing (since 1 Sep 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2021)
• Dean Anthony Meyer

  IRN DAM00036

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF1 Director (1 Mar 2013 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Mar 2013 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Mar 2013 to 8 Dec 2019)
  • CF30 Customer (1 Mar 2009 to 8 Dec 2019)
• Gareth Southgate

  IRN GXS01651

  • CF1 Director (14 May 2007 to 28 Jul 2009)
• Jonathan Neil Alexander

  IRN JNA00005

  • 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
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 May 2007 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (14 May 2007 to 1 Mar 2013)
  • CF10 Compliance Oversight (14 May 2007 to 1 Mar 2013)
  • CF1 Director (14 May 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (14 May 2007 to 31 Mar 2009)
  • CF21 Investment Adviser (14 May 2007 to 31 Oct 2007)
• Karen Anne Cresswell

  IRN KAC00018

  • 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
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Sep 2012 to 8 Dec 2019)
• Paul Jack Bolt

  IRN PJB01371

  • CF1 Director (14 May 2007 to 8 Aug 2008)

No changes recorded yet.