HANOVER WEALTH MANAGEMENT LIMITED

• Principal Place of Business

  Hanover Wealth Management

  11-13 Hanover Street

  Liverpool

  L1 3DN

  UNITED KINGDOM

  Phone

  +4401515591710

  Web

  https://www.hanoverwm.co.uk

• Complaints Contact

  Hanover Wealth Management

  11-13 Hanover Street

  Liverpool

  L1 3DN

  UNITED KINGDOM

  Phone

  +441515591710

• Buy-to-Let Mortgage Advice

• 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.

• 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

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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 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”.

• 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.

• David Peter Carmichael

  IRN DPC00016

  • CF30 Customer (2 May 2008 to 24 Nov 2011)
• Dean Edward Holden

  IRN DEH00004

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (AR) (since 16 Nov 2016)
  • CF30 Customer (since 2 May 2008)
• James Leslie Kolvik

  IRN JLK00004

  • CF30 Customer (14 Jan 2009 to 24 Dec 2012)
• Julie Ann Roche

  IRN JAR01155

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • Responsible for Insurance Mediation (5 Apr 2011 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (5 Apr 2011 to 8 Dec 2019)
  • CF30 Customer (9 Nov 2010 to 8 Dec 2019)
  • CF1 Director (2 May 2008 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 May 2008 to 8 Dec 2019)
• Richard Charles Broad

  IRN RCB00028

  • CF30 Customer (1 Jul 2011 to 17 Jan 2012)
• Thomas Murphy

  IRN TXM00052

  • CF1 Director (2 May 2008 to 25 Feb 2011)
  • CF11 Money Laundering Reporting (2 May 2008 to 25 Feb 2011)
  • CF30 Customer (2 May 2008 to 25 Feb 2011)
  • CF8 Apportionment and Oversight (2 May 2008 to 31 Mar 2009)
  • Responsible for Insurance Mediation (2 May 2008 to 25 Feb 2011)

• Tarporley Holdings Ltd

  FRN 762560 · Appointed 24 Oct 2016

No changes recorded yet.