Beaufort Wealth Management Limited

• Principal Place of Business

  7B Tournament Court

  Edgehill Drive

  Warwick

  CV34 6LG

  UNITED KINGDOM

  Phone

  +441926460156

  Web

  https://www.beaufortwmltd.co.uk

• Complaints Contact

  7B Tournament Court

  Edgehill Drive

  Warwick

  CV34 6LG

  UNITED KINGDOM

  Phone

  +441926460156

• 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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  • · 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.
  • · 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 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.

• 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.

• Andrew Fraser

  IRN AXF00541

  • 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 8 Jul 2024)
  • [FCA CF] Client dealing (since 8 Jul 2024)
• Frazer Laird

  IRN FXL00087

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 4 Dec 2023)
  • [FCA CF] Functions requiring qualifications (since 4 Dec 2023)
• Ian Peter Adey

  IRN APA00002

  • [FCA CF] Manager of certification employee (5 Nov 2024 to 31 Mar 2025)
  • [FCA CF] Functions requiring qualifications (4 Dec 2023 to 4 Nov 2024)
  • [FCA CF] Client dealing (4 Dec 2023 to 4 Nov 2024)
  • SMF3 Executive Director (4 Dec 2023 to 5 Nov 2024)
• Philip Julian Anthony Hart

  IRN PXH00183

  • 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 4 Dec 2023)
  • [FCA CF] Client dealing (since 4 Dec 2023)
  • [FCA CF] Functions requiring qualifications (since 4 Dec 2023)
  • Responsible for Insurance Distribution (since 4 Dec 2023)
  • SMF16 Compliance Oversight (since 4 Dec 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Dec 2023)
  • [FCA CF] Manager of certification employee (1 Apr 2025 to 2 Apr 2025)
• Philip Lister Thomas

  IRN PLT00001

  • 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 Dec 2023)
  • [FCA CF] Functions requiring qualifications (since 4 Dec 2023)
• Ravinder Singh Ghuman

  IRN RSG01057

  • 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 Dec 2023)
  • SMF3 Executive Director (since 4 Dec 2023)
  • [FCA CF] Functions requiring qualifications (since 4 Dec 2023)
  • [FCA CF] Manager of certification employee (1 Apr 2025 to 2 Apr 2025)
• Rupert Guy Lankester

  IRN RGL00010

  • [FCA CF] Functions requiring qualifications (4 Dec 2023 to 30 Apr 2024)
  • [FCA CF] Client dealing (4 Dec 2023 to 30 Apr 2024)

No changes recorded yet.