Astute Private Wealth Limited

• Principal Place of Business

  2nd Floor

  Vista Building

  St David's Park

  Ewloe

  Flintshire

  CH5 3DT

  UNITED KINGDOM

  Phone

  +441244660793

  Web

  https://www.astuteprivatewealth.co.uk

• Complaints Contact

  2nd Floor

  Vista Building

  St David's Park

  Ewloe

  Flintshire

  CH5 3DT

  UNITED KINGDOM

  Phone

  +441244660793

• 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 pension policies with a Guaranteed Annuity Rate.
  • · 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

  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

  For Customer

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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

  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

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• 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.

• Mark Wignall

  IRN MXW00187

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 8 Dec 2022)
• Martin Monk

  IRN MLM00025

  • 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] Functions requiring qualifications (since 1 Apr 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 10 Aug 2023)
  • CF1 Director (AR) (30 Dec 2016 to 1 May 2024)
  • CF30 Customer (15 Apr 2015 to 1 May 2024)
• Matthew Lloyd Galloway

  IRN MXG00772

  • 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 21 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 21 Oct 2024)
• Michael Christopher McErlean

  IRN MCM00010

  • [FCA CF] Client dealing (21 Jan 2021 to 1 Nov 2022)
  • [FCA CF] Functions requiring qualifications (21 Jan 2021 to 1 Nov 2022)
• Michael John Norris

  IRN MJN00027

  • 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 27 May 2021)
  • [FCA CF] Functions requiring qualifications (since 27 May 2021)
• Neil Coleman

  IRN NXC00033

  • 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] Manager of certification employee (since 16 Aug 2022)
  • SMF3 Executive Director (since 1 Sep 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (AR) (20 Sep 2016 to 18 Aug 2022)
  • CF30 Customer (5 Jul 2016 to 18 Aug 2022)
• Neil Ransome

  IRN NTR01012

  • 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
  • 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)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF1 Director (AR) (since 3 Mar 2014)
  • CF30 Customer (2 Feb 2011 to 19 Apr 2023)
  • CF10 Compliance Oversight (2 Feb 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Feb 2011 to 8 Dec 2019)
  • CF1 Director (2 Feb 2011 to 8 Dec 2019)
• Nicholas Stopford Middlehurst

  IRN NSM00009

  • [FCA CF] Client dealing (9 Dec 2019 to 27 Aug 2023)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 27 Aug 2023)
  • CF1 Director (AR) (2 May 2019 to 10 Oct 2023)
  • CF30 Customer (2 May 2019 to 27 Aug 2023)
• Paul Henry Tupper

  IRN PHT00001

  • CF30 Customer (15 Oct 2014 to 6 Feb 2017)
  • CF1 Director (AR) (15 Oct 2014 to 24 Apr 2019)
• Paul Kelly

  IRN PXK00119

  • 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 5 May 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2020)
  • [FCA CF] Client dealing (since 1 Jul 2020)

• WTK Financial Planning Limited (no longer appointed)

  FRN 647825 · Appointed 26 Sep 2014 · Until 25 Mar 2019

• Bache Financial Services Limited (no longer appointed)

  FRN 179619 · Appointed 1 Jan 2014 · Until 23 Apr 2018

• WTK Financial Solutions Limited (no longer appointed)

  FRN 595132 · Appointed 29 Jan 2013 · Until 21 Nov 2022

• WTK Wealth Ltd (no longer appointed)

  FRN 594803 · Appointed 23 Jan 2013 · Until 11 Jun 2018

No changes recorded yet.