Chattertons Wealth Management Limited

• Principal Place of Business

  9 Broad Street

  Stamford

  Lincolnshire

  PE9 1PY

  UNITED KINGDOM

  Phone

  +441780764145

  Web

  https://www.chattertons.com

• Complaints Contact

  9 Broad Street

  Stamford

  Lincolnshire

  PE9 1PY

  UNITED KINGDOM

  Phone

  +441780750771

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• 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”.

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Mark Winterton

  IRN MXW00092

  • [FCA CF] Client dealing (15 Mar 2021 to 6 Dec 2023)
  • [FCA CF] Functions requiring qualifications (15 Mar 2021 to 6 Dec 2023)
• Michael Christopher Dobbs

  IRN MCD01103

  • CF11 Money Laundering Reporting (1 Mar 2017 to 6 Nov 2017)
• Michael Reeson

  IRN MXR00954

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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 5 Nov 2024)
  • [FCA CF] Functions requiring qualifications (since 5 Nov 2024)
• Neil Gumsley

  IRN NBG01006

  • 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 14 Sep 2022)
  • [FCA CF] Client dealing (since 14 Sep 2022)
• Patrick Cordingley

  IRN PXC02399

  • CF11 Money Laundering Reporting (6 Nov 2017 to 22 Mar 2019)
  • CF1 Director (1 Mar 2017 to 1 Oct 2019)
• Richard Ian Clare

  IRN RIC01053

  • SMF17 Money Laundering Reporting Officer (MLRO) (18 Aug 2023 to 1 May 2024)
  • SMF16 Compliance Oversight (18 Aug 2023 to 11 Apr 2024)
• Richard Rodney Ludlow

  IRN RRL01020

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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 3 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 3 Dec 2020)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • SMF16 Compliance Oversight (9 Dec 2019 to 4 Jun 2020)
  • CF3 Chief Executive (1 Mar 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Mar 2017 to 30 Sep 2018)
  • CF30 Customer (1 Mar 2017 to 8 Dec 2019)
  • CF1 Director (1 Mar 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Mar 2017 to 8 Dec 2019)
• Sarah Ruth Coulson

  IRN SXC02346

  • [FCA CF] Functions requiring qualifications (3 Dec 2020 to 31 Aug 2022)
  • [FCA CF] Client dealing (3 Dec 2020 to 31 Aug 2022)
• Scott Nicholas Wiseman

  IRN SNW01042

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 1 Nov 2024)
  • [FCA CF] Client dealing (since 3 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 3 Dec 2020)
  • CF30 Customer (1 Jan 2018 to 8 Dec 2019)
• Sophie Barnes

  IRN SXB01075

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 7 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 7 Nov 2022)

No changes recorded yet.