Bartlett Wealth Management Ltd

Date authorised
1 April 2013
Companies House
00840614
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • 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

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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

    Show 2 limitations
    • · 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
    • · 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
    • · 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
    • · 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Robert Graham Brown

    IRN RGB00007

    • CF30 Customer (1 Nov 2007 to 5 Nov 2012)
    • Responsible for Insurance Mediation (14 Jan 2005 to 18 Feb 2005)
    • CF1 Director (AR) (25 Apr 2003 to 11 May 2006)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 18 Feb 2005)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF10 Compliance Oversight (1 Dec 2001 to 18 Feb 2005)
    • CF1 Director (1 Dec 2001 to 28 Feb 2013)
  • Robert James Simpson

    IRN RXS01781

    • CF3 Chief Executive (17 Feb 2014 to 14 Mar 2016)
    • CF11 Money Laundering Reporting (23 Jan 2013 to 14 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 14 Mar 2016)
    • CF21 Investment Adviser (23 May 2007 to 31 Oct 2007)
    • CF1 Director (23 May 2007 to 14 Mar 2016)
    • CF10 Compliance Oversight (3 Oct 2006 to 1 Oct 2011)
  • Robert Michael Smith

    IRN RMS01172

    • CF30 Customer (14 Sep 2010 to 31 May 2013)
  • Sophie Osborne Hutchinson

    IRN SOC01005

    • CF30 Customer (1 Nov 2007 to 30 Apr 2014)
    • CF21 Investment Adviser (22 Dec 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (26 Aug 2004 to 22 Dec 2004)
  • Stephen Peter Riddick

    IRN SPR01056

    • CF8 Apportionment and Oversight (3 Mar 2005 to 1 Nov 2008)
    • CF3 Chief Executive (3 Mar 2005 to 1 Nov 2008)
    • CF1 Director (14 Apr 2004 to 31 Mar 2010)
  • Thomas Adam Pollard

    IRN TXP00270

    • Responsible for Insurance Distribution (since 26 Aug 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Aug 2023)
    • SMF16 Compliance Oversight (since 25 Aug 2023)
  • Thomas Fellows

    IRN TXF01291

    • CF30 Customer (1 Apr 2016 to 13 Jul 2018)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.