FB WEALTH MANAGEMENT LIMITED

• Principal Place of Business

  26 South St. Marys Gate

  Grimsby

  DN31 1LW

  UNITED KINGDOM

  Phone

  +4403331122211

  Web

  https://www.fbwealth.co.uk

• Complaints Contact

  26 South St. Marys Gate

  Grimsby

  DN31 1LW

  UNITED KINGDOM

  Phone

  +443331122211

• 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, Warrant

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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, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling which is provided in connection with investment advice or advice on any form of debt (personal or corporate) that we may recommend a client repay before considering the investment of capital.

• 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.

• Alexander Neville Munn

  IRN ANM01065

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (16 Nov 2017 to 8 Dec 2019)
• Andrew Derek Spencer

  IRN AXS00312

  • [FCA CF] Significant management (9 Dec 2019 to 5 Jul 2021)
• Brian Graeme Baxendale

  IRN BGB00009

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2021)
  • CF30 Customer (1 Apr 2011 to 28 Mar 2013)
• Carrie Jensen

  IRN CXJ00240

  • Director of firm who is not a certification employee or a SMF manager (since 12 Jan 2023)
• Christopher James Gray

  IRN CXG00100

  • 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 Aug 2024)
  • [FCA CF] Client dealing (since 20 Jul 2020)
  • [FCA CF] Functions requiring qualifications (since 20 Jul 2020)
• Dale Andrew Regan

  IRN DXR00081

  • 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] Manager of certification employee (since 1 Aug 2024)
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2020)
  • [FCA CF] Client dealing (since 1 Sep 2020)
• Darren Wood

  IRN DXW01477

  • CF30 Customer (11 Feb 2013 to 31 Jul 2013)
• David James Everatt

  IRN DJE01135

  • SMF3 Executive Director (9 Dec 2019 to 12 Dec 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 4 May 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 4 May 2021)
  • CF10 Compliance Oversight (24 Aug 2015 to 8 Dec 2019)
  • CF1 Director (24 Aug 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (24 Aug 2015 to 8 Dec 2019)
• Elaine Mary Baker

  IRN EMB00002

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 19 Jul 2023)
  • Responsible for Insurance Distribution (since 3 Jun 2021)
  • SMF16 Compliance Oversight (since 23 Apr 2021)
  • SMF3 Executive Director (since 23 Apr 2021)
• Gavin John Smart

  IRN GJS01180

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (21 Apr 2017 to 8 Dec 2019)

No changes recorded yet.