HARTEY WEALTH MANAGEMENT LIMITED

• Principal Place of Business

  Hilliards Court

  Chester Business Park

  Chester

  Cheshire

  CH4 9QP

  UNITED KINGDOM

  Phone

  +4401244659659

  Web

  https://www.harteywm.co.uk

• Complaints Contact

  Hilliards Court

  Chester Business Park

  Chester

  Cheshire

  CH4 9QP

  UNITED KINGDOM

  Phone

  +4401244659659

• 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

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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, 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, 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, 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, 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.

• Chloe Graves

  IRN CXG00327

  • [FCA CF] Client dealing (1 Mar 2022 to 11 Mar 2024)
  • [FCA CF] Functions requiring qualifications (1 Mar 2022 to 11 Mar 2024)
• John Mark Parry-Jones

  IRN JMP00059

  • Responsible for Insurance Mediation (1 May 2013 to 27 Aug 2013)
  • CF30 Customer (1 May 2013 to 5 Sep 2013)
  • CF11 Money Laundering Reporting (1 May 2013 to 5 Sep 2013)
  • CF10 Compliance Oversight (1 May 2013 to 5 Sep 2013)
  • CF1 Director (1 May 2013 to 5 Sep 2013)
• Karl David Hartey

  IRN KDH00002

  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (27 Jul 2016 to 8 Dec 2019)
  • CF30 Customer (3 Nov 2014 to 8 Dec 2019)
• Stuart Clark MacDonald

  IRN SCM00036

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 28 Oct 2024)
  • [FCA CF] Client dealing (since 28 Oct 2024)
  • SMF3 (AR) Executive Director function (21 Nov 2024 to 20 Nov 2025)
  • CF1 Director (AR) (21 Nov 2024 to 20 Nov 2025)
  • CF30 Customer (21 Nov 2024 to 20 Nov 2025)
• Thomas Arran Lowman

  IRN TAL01029

  • CF30 Customer (1 May 2013 to 23 Aug 2013)
• Tristan Karl Robert Hartey

  IRN TKH01018

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (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)
  • CF11 Money Laundering Reporting (4 Sep 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (4 Sep 2013 to 30 Sep 2018)
  • CF10 Compliance Oversight (4 Sep 2013 to 8 Dec 2019)
  • CF1 Director (1 May 2013 to 8 Dec 2019)
  • CF30 Customer (1 May 2013 to 8 Dec 2019)
• William Anthony McBride

  IRN WAM01096

  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 May 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 May 2023)
  • CF1 Director (1 Apr 2019 to 8 Dec 2019)
  • CF30 Customer (23 Jan 2017 to 8 Dec 2019)

• RSQ Wealth Management Limited (no longer appointed)

  FRN 1020737 · Appointed 21 Nov 2024 · Until 20 Nov 2025

No changes recorded yet.