Generation Wealth Ltd

• Principal Place of Business

  4 The Old Water Mill

  Westford

  Wellington

  Somerset

  TA21 0DJ

  UNITED KINGDOM

  Phone

  +441392950960

  Web

  https://www.generationwealth.co.uk

• Complaints Contact

  4 The Old Water Mill

  Westford

  Wellington

  Somerset

  TA21 0DJ

  UNITED KINGDOM

  Phone

  +441392950960

• 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: 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 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.

• 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”.

• Investment Setup

  For Commercial, Eligible Counterparty, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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.

• Michael John Rice

  IRN MJR00078

  • [FCA CF] Functions requiring qualifications (5 Mar 2021 to 1 Jan 2022)
  • [FCA CF] Client dealing (5 Mar 2021 to 1 Jan 2022)
  • SMF3 Executive Director (9 Dec 2019 to 1 Mar 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 1 Mar 2022)
  • CF30 Customer (6 Aug 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (6 Aug 2015 to 22 Jul 2019)
  • CF10 Compliance Oversight (6 Aug 2015 to 22 Jul 2019)
  • Responsible for Insurance Mediation (6 Aug 2015 to 30 Sep 2018)
  • CF1 Director (6 Aug 2015 to 8 Dec 2019)
• Patrick Byrnes Kerwin

  IRN PBK01014

  • [FCA CF] Client dealing (1 Feb 2023 to 31 Mar 2024)
  • [FCA CF] Functions requiring qualifications (1 Feb 2023 to 31 Mar 2024)
• Sarah Leanne Ross

  IRN SLR01079

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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)
  • [FCA CF] Functions requiring qualifications (since 5 Mar 2021)
  • [FCA CF] Client dealing (since 5 Mar 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 5 Aug 2019)
  • CF11 Money Laundering Reporting (5 Aug 2019 to 8 Dec 2019)
  • CF10 Compliance Oversight (5 Aug 2019 to 8 Dec 2019)
  • CF1 Director (6 Aug 2015 to 8 Dec 2019)
  • CF30 Customer (6 Aug 2015 to 8 Dec 2019)

No changes recorded yet.