Bartlett Wealth Management Ltd

• Principal Place of Business

  Broadway Hall

  Horsforth

  Leeds

  West Yorkshire

  LS18 4RS

  UNITED KINGDOM

  Phone

  +4401132593539

  Web

  http://www.bartlettgroup.com/product/wealth-management/

• Complaints Contact

  Broadway Hall

  Horsforth

  Leeds

  West Yorkshire

  LS18 4RS

  UNITED KINGDOM

  Phone

  +4401132593539

• 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

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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

• 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling which is provided in connection with investment advice

• 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.

• Adam Troy Huxley

  IRN ATH01046

  • CF30 Customer (1 Nov 2007 to 10 Jul 2008)
  • CF22 Investment Adviser (Trainee) (24 Jul 2007 to 31 Oct 2007)
• Adrian Parkin

  IRN AXP00004

  • CF1 Director (1 Mar 2005 to 3 Aug 2007)
  • CF10 Compliance Oversight (1 Mar 2005 to 3 Oct 2006)
  • CF21 Investment Adviser (4 Apr 2003 to 17 May 2007)
  • CF1 Director (AR) (4 Apr 2003 to 11 May 2006)
  • CF24 Pension Transfer Specialist (4 Apr 2003 to 17 May 2007)
• Andrew James Holt

  IRN AJH01625

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Apr 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Apr 2022)
  • CF30 Customer (17 Mar 2014 to 8 Dec 2019)
• Andrew James Russell

  IRN AXR00957

  • CF1 Director (AR) (since 25 Sep 2024)
• Andrew Michael Bartlett

  IRN AMB01359

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (9 Feb 2018 to 8 Dec 2019)
• Andrew Russell

  IRN AXR00328

  • [FCA CF] Significant management (since 9 Dec 2019)
• Anna Huck

  IRN AXN00111

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 5 Jan 2024)
  • [FCA CF] Functions requiring qualifications (since 5 Jan 2024)
• Ben Clapham

  IRN BSC01034

  • CF30 Customer (31 Jul 2012 to 10 Oct 2017)
• David Francis Bates

  IRN DFB01044

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 Jun 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 Jun 2023)
  • SMF3 Executive Director (9 Dec 2019 to 2 Jun 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 2 Jun 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 2 Jun 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 2 Jun 2023)
  • CF11 Money Laundering Reporting (9 May 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (9 May 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (4 Feb 2013 to 30 Sep 2018)
  • CF1 Director (10 Nov 2010 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (5 Dec 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (23 Jun 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (10 Aug 2004 to 23 Jun 2005)
• David Michael Weathers

  IRN DMW00068

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Nov 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Nov 2023)
  • CF1 Director (11 Nov 2010 to 6 Nov 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (28 Jun 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

• Bartlett Employee Benefits Limited

  FRN 1017902 · Appointed 25 Sep 2024

• Sugden Rodgers (Life & Pensions Consultants) Limited (no longer appointed)

  FRN 224092 · Appointed 3 Apr 2003 · Until 8 May 2006

No changes recorded yet.