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.

• Ian Frazer

  IRN IXF00002

  • CF1 Director (AR) (1 Mar 2013 to 20 Mar 2014)
  • CF30 Customer (1 Mar 2013 to 20 Mar 2014)
• Ian Marsh

  IRN IXM01159

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Jul 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Jul 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (16 Aug 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (25 Jan 2007 to 31 Oct 2007)
• Jack Robert Ford

  IRN JXF00010

  • 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 4 Mar 2024)
  • [FCA CF] Functions requiring qualifications (since 4 Mar 2024)
• James Harley

  IRN JXH01507

  • CF24 Pension Transfer Specialist (2 Jun 2006 to 28 Feb 2007)
  • CF21 Investment Adviser (2 Jun 2006 to 28 Feb 2007)
• James Robert Fitzpatrick

  IRN JRF01110

  • 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 1 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2024)
• Jonathan Michael Loughran

  IRN JXL10611

  • 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 19 Sep 2022)
  • [FCA CF] Client dealing (since 19 Sep 2022)
• Karen Charlotte Richardson

  IRN KCS01015

  • CF21 Investment Adviser (2 Jun 2006 to 20 Dec 2006)
• Karen Margaret Barwick

  IRN KMB00006

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 1 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Feb 2025)
• Kate Brown

  IRN KXB01289

  • [FCA CF] Functions requiring qualifications (1 Oct 2024 to 30 Jan 2026)
  • [FCA CF] Manager of certification employee (1 Oct 2024 to 30 Jan 2026)
  • [FCA CF] Client dealing (1 Oct 2024 to 30 Jan 2026)
• Katherine Finch

  IRN KXF00110

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Oct 2023)
  • SMF16 Compliance Oversight (since 11 Oct 2023)
  • Responsible for Insurance Distribution (since 11 Oct 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.