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.

• Paul Robert Mattioli

  IRN PRM00021

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF30 Customer (1 Feb 2010 to 18 Nov 2014)
  • CF2 Non Executive Director (20 Jul 2009 to 8 Dec 2019)
• Peter John Baxter

  IRN PJB01227

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (14 May 2008 to 8 Dec 2019)
• Richard Edward Parfitt

  IRN REP01024

  • CF3 Chief Executive (10 Mar 2006 to 16 Aug 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 16 Aug 2007)
  • CF1 Director (1 Dec 2001 to 16 Aug 2007)
  • CF27 Investment Management (1 Dec 2001 to 16 Aug 2007)
• Robert Avon Bill

  IRN RAB01171

  • CF30 Customer (1 Nov 2007 to 30 Nov 2012)
  • CF27 Investment Management (28 Feb 2002 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Samuel John Baird

  IRN SXB00454

  • [FCA CF] Significant management (9 Dec 2019 to 25 Nov 2024)
  • [FCA CF] CASS oversight function (9 Dec 2019 to 25 Nov 2024)
• Simon Mark Smith

  IRN SMS01094

  • Director of firm who is not a certification employee or a SMF manager (9 Dec 2019 to 30 Sep 2024)
  • CF2 Non Executive Director (21 Dec 2015 to 8 Dec 2019)
• Simon Nicholas Harold Boardman-Weston

  IRN SNB01018

  • SMF9 Chair of the Governing Body (since 1 Apr 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (9 Dec 2019 to 1 Apr 2022)
  • CF8 Apportionment and Oversight (6 Jan 2003 to 31 Oct 2007)
  • CF3 Chief Executive (6 Jan 2003 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Simon Paul Preston

  IRN SPP00003

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2024)
  • CF30 Customer (20 Feb 2015 to 8 Dec 2019)
• Thomas Michael Hopkins

  IRN TXH00136

  • [FCA CF] Functions requiring qualifications (1 May 2020 to 20 Apr 2025)
  • [FCA CF] Client dealing (1 May 2020 to 20 Apr 2025)
• Toni Edward Meadows

  IRN TEM01007

  • 14. Managing investments
  • [FCA CF] Manager of certification employee (since 28 Jul 2025)
  • [FCA CF] Client dealing (since 28 Jul 2025)
  • [FCA CF] Functions requiring qualifications (since 28 Jul 2025)

No changes recorded yet.