Falco Private Wealth Limited

• Principal Place of Business

  33 Eastcheap

  London

  EC3M 1DE

  UNITED KINGDOM

  Phone

  +442035350100

  Web

  https://www.falcogroup.co.uk

• Complaints Contact

  33 Eastcheap

  London

  EC3M 1DE

  UNITED KINGDOM

  Phone

  +442035350100

• 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: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), 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, 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 Professional, Retail (Investment), 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, 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Debenture, Government and public security, 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), Rolling spot forex contract, 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.

• Investment Setup

  For Professional, Retail (Investment), 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, 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.

• Manages Your Portfolio

  For 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.

• Alexander William Green

  IRN AXG02861

  • CF30 Customer (5 Jul 2018 to 18 Nov 2019)
• David Michael John Sterland

  IRN DMS01200

  • [FCA CF] Client dealing (1 Aug 2022 to 12 Jan 2026)
  • [FCA CF] Functions requiring qualifications (1 Aug 2022 to 12 Jan 2026)
• Henry Willis

  IRN HXW00252

  • 14. Managing investments
  • 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 8 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 8 Oct 2024)
• Jonathan Daniel Lamb

  IRN JDL00025

  • 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 3 Mar 2021)
  • [FCA CF] Client dealing (since 3 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 3 Mar 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (since 1 Jun 2018)
  • Responsible for Insurance Mediation (1 Jun 2018 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Jun 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jun 2018 to 8 Dec 2019)
  • CF1 Director (1 Jun 2018 to 8 Dec 2019)
• Lee Thistlethwaite

  IRN LXT01042

  • CF2 Non Executive Director (6 Aug 2018 to 8 Dec 2019)
• Mark John Taylor

  IRN MJT01080

  • CF30 Customer (3 Dec 2018 to 8 Dec 2019)
• Matthew Griffin

  IRN MXG02697

  • CF30 Customer (since 5 Jul 2018)
  • [FCA CF] Client dealing (3 Mar 2021 to 16 Feb 2026)
  • [FCA CF] Functions requiring qualifications (3 Mar 2021 to 16 Feb 2026)
• Stefan Wagner

  IRN SXW01258

  • CF30 Customer (2 May 2019 to 8 Dec 2019)
• Steven Rimmer

  IRN SXR01289

  • CF2 Non Executive Director (21 May 2019 to 8 Dec 2019)
• William Gerard O'Neill

  IRN WGO01003

  • CF2 Non Executive Director (26 Jul 2018 to 8 Dec 2019)

• Falco Wealth Limited (no longer appointed)

  FRN 821312 · Appointed 20 Sep 2018 · Until 12 Jan 2025

No changes recorded yet.