Azets Wealth Management Limited

• Principal Place of Business

  Bulman House

  Regent Centre

  Gosforth

  Newcastle upon Tyne

  Tyne and Wear

  NE3 3LS

  UNITED KINGDOM

  Phone

  +4401912850321

  Web

  https://www.azetswealthmanagement.co.uk

• Complaints Contact

  Bulman House

  Regent Centre

  Gosforth

  Newcastle upon Tyne

  Tyne and Wear

  NE3 3LS

  UNITED KINGDOM

  Phone

  +4401912850321

• 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 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 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”.

• 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.

• Adam Stephen Bickell

  IRN ASB01114

  • 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] Functions requiring qualifications (since 27 Aug 2024)
  • [FCA CF] Client dealing (since 27 Aug 2024)
• Alastair Rowan Wilson

  IRN ARW01224

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 29 Jun 2023)
  • SMF3 Executive Director (9 Dec 2019 to 29 Jun 2023)
  • CF11 Money Laundering Reporting (30 Nov 2012 to 8 Dec 2019)
  • CF1 Director (16 Nov 2012 to 8 Dec 2019)
• Alexander Grange

  IRN AXG00449

  • 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 30 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 30 Sep 2024)
• Alexander Ronald Bolton

  IRN ARB01272

  • 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 3 Apr 2023)
  • [FCA CF] Functions requiring qualifications (since 3 Apr 2023)
• Andrew John Moorby

  IRN AJM01766

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 29 Jun 2023)
  • CF1 Director (2 Nov 2015 to 8 Dec 2019)
• Andrew Kilby

  IRN AJK00024

  • 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 4 Jan 2024)
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2024)
• Anthony Leslie Crawley

  IRN ALC01039

  • CF1 Director (2 Jun 2006 to 2 Jan 2013)
  • CF10 Compliance Oversight (2 Jun 2006 to 2 Jan 2013)
  • CF11 Money Laundering Reporting (2 Jun 2006 to 2 Jan 2013)
  • Responsible for Insurance Mediation (2 Jun 2006 to 2 Jan 2013)
• Anuj Kumar Khindria

  IRN AKK01022

  • CF30 Customer (4 Aug 2014 to 9 Oct 2014)
• Ashley Michael Magean

  IRN AMM01246

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Mar 2016 to 8 Dec 2019)
• Carl David Paul Stacey

  IRN CDS01090

  • 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] Functions requiring qualifications (since 12 Jun 2023)
  • [FCA CF] Client dealing (since 12 Jun 2023)

• Mr David William Brown (no longer appointed)

  FRN 602726 · Appointed 19 Jun 2013 · Until 25 Apr 2014

• Ian Frazer Financial Planning Limited (no longer appointed)

  FRN 595940 · Appointed 18 Feb 2013 · Until 20 Mar 2014

• Denis Turnbull Financial Services Limited (no longer appointed)

  FRN 591183 · Appointed 14 Nov 2012 · Until 5 Feb 2015

• Mr Gary Kevin Charlesworth (no longer appointed)

  FRN 585398 · Appointed 27 Jul 2012 · Until 5 Feb 2015

No changes recorded yet.