GEMINI WEALTH MANAGEMENT LTD

• Principal Place of Business

  Gemini House

  71 Park Road

  Sutton Coldfield

  West Midlands

  B73 6BT

  UNITED KINGDOM

  Phone

  +4401213542700

  Web

  https://www.geminiwealthgroup.com

• Complaints Contact

  Gemini House

  71 Park Road

  Sutton Coldfield

  West Midlands

  B73 6BT

  UNITED KINGDOM

  Phone

  +4401213542700

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• 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

  Show 2 limitations Hide limitations

  • · 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.

• 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.

• 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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  • · This permission is limited to debt counselling with no debt management activity

• Consumer Loans

  Show 1 limitation Hide limitations

  • · Limited to lending without interest or charges (This the business said is to give customer who can't pay their fees in full to the business, the flixibility to be able to spread the costs over a maximum of 18 months.)

• Loan Servicing

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  • · Limited to lending without interest or charges

• 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.

• Credit Score Services

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  • · This permission is limited to not carrying out credit repair services

• Alistair John Wallace

  IRN AXW00031

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (29 Dec 2006 to 31 Oct 2007)
• Amanda Louise Reid

  IRN ALR00014

  • 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
  • 9A. Advising on P2P agreements
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Jan 2023)
  • Responsibility for MCD Intermediation (since 10 Jan 2023)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (31 May 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (31 May 2007 to 22 Apr 2019)
  • CF10 Compliance Oversight (31 May 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (29 Dec 2006 to 31 Oct 2007)
• Carl Alan Jackson

  IRN CAJ01084

  • [FCA CF] Client dealing (16 Aug 2021 to 1 Aug 2024)
  • [FCA CF] Functions requiring qualifications (16 Aug 2021 to 1 Aug 2024)
• Charlotte Louise Hopwood

  IRN CXH00307

  • [FCA CF] Client dealing (9 Dec 2019 to 21 Sep 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Dec 2022)
• Christopher Hill

  IRN CJH01358

  • CF30 Customer (21 Feb 2014 to 23 May 2016)
• David Charles Stait

  IRN DCS00002

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Nov 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (29 Dec 2006 to 31 Oct 2007)
• David John Thomas

  IRN DJT00011

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Apr 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Apr 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (31 May 2007 to 1 Mar 2017)
  • CF21 Investment Adviser (29 Dec 2006 to 31 Oct 2007)
• David Mark Holloway

  IRN DMH01146

  • [FCA CF] Manager of certification employee (9 Mar 2020 to 23 Nov 2023)
• Derek Ashby

  IRN DXA00015

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Feb 2025)
  • CF30 Customer (21 Sep 2009 to 8 Dec 2019)
• Donna Mary Bailey

  IRN DMB01283

  • [FCA CF] Client dealing (9 Dec 2019 to 25 May 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 25 May 2021)
  • CF30 Customer (5 Nov 2018 to 8 Dec 2019)

No changes recorded yet.