BRI Wealth Management PLC

• Principal Place of Business

  BRI House

  Elm Court

  Copse Drive

  Meriden Business Park

  Coventry

  West Midlands

  CV5 9RL

  UNITED KINGDOM

  Phone

  +4401676523550

  Web

  https://www.brigroup.co.uk

• Complaints Contact

  B R I House

  Elm Court Copse Drive

  Coventry

  West Midlands

  CV5 9RL

  UNITED KINGDOM

  Phone

  +4401676523550

• 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, Eligible Counterparty, 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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  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to activities carried on as a broker fund adviser.
  • · Limited to independent intermediary activities and in carrying on such activities to the specified investments ”share" (only if in connection with an investment trust savings scheme), "unit", "stakeholder pension scheme", right to or interest in investments - security", (when the latter is associated with these specified investments), "life policy", "funeral plan contract" and "right to or interest in investments - contractually based investment", (when the latter is associated with these specified investments).

• 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, Eligible Counterparty, 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, 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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  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to dealing-only activities.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Stockbroking

  For Commercial, Eligible Counterparty, 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 3 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Commercial, Eligible Counterparty, 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, 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 4 limitations Hide limitations

  • · Limited to investment management activities for the specified customer types.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to transaction-only activities.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Lawrence Fisher

  IRN LXF01345

  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2020)
  • CF1 Director (1 May 2018 to 8 Dec 2019)
  • CF30 Customer (19 Aug 2015 to 8 Dec 2019)
• Mark David Merten-Jones

  IRN MDM01070

  • CF30 Customer (1 Nov 2007 to 13 Jun 2014)
  • CF21 Investment Adviser (7 Jan 2004 to 31 Oct 2007)
  • CF27 Investment Management (7 Jan 2004 to 31 Oct 2007)
  • CF1 Director (7 Jan 2004 to 13 Jun 2014)
• Mark David Speechly

  IRN MDS01099

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2026)
  • CF30 Customer (18 Jun 2014 to 8 Dec 2019)
• Mark John Davis

  IRN MXD00107

  • [FCA CF] Client dealing (17 Jan 2023 to 30 Mar 2026)
  • [FCA CF] Functions requiring qualifications (17 Jan 2023 to 30 Mar 2026)
• Melissa Henderson

  IRN MXH01213

  • [FCA CF] Client dealing (2 May 2024 to 14 Jan 2026)
  • [FCA CF] Functions requiring qualifications (2 May 2024 to 14 Jan 2026)
• Michael James Cusack

  IRN MJC01381

  • CF2 Non Executive Director (8 Jan 2004 to 26 May 2011)
• Nicholas Robert Hinchliffe

  IRN NRH01028

  • CF27 Investment Management (27 Jan 2004 to 26 Sep 2007)
  • CF1 Director (24 Jul 2002 to 26 Jul 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 26 Sep 2007)
• Nicholas Sinclair-Wilson

  IRN NXS02300

  • 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] Manager of certification employee (since 1 May 2024)
  • SMF3 Executive Director (since 2 Aug 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (11 Jan 2017 to 8 Dec 2019)
• Oliver Pearce Mustin

  IRN OPM01007

  • CF30 Customer (15 Jul 2009 to 30 Sep 2016)
• Paul James Cusack

  IRN PJC01163

  • SMF3 Executive Director (9 Dec 2019 to 1 Feb 2021)
  • CF3 Chief Executive (9 Apr 2010 to 16 Feb 2017)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (7 Jul 2004 to 8 Dec 2019)
  • CF27 Investment Management (7 Jul 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (7 Jul 2004 to 31 Oct 2007)

No changes recorded yet.