Heron Wealth Management Limited

Date authorised
1 April 2013
Companies House
05360438
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Heron Wealth Management Ltd
    2 Alexandra Gate
    Ffordd Pengam
    Cardiff
    CF24 2SA
    UNITED KINGDOM
    Phone
    +442920890444
    Web
    https://www.heronwm.co.uk

  • Complaints Contact

    Heron Wealth Management Ltd
    2 Alexandra Gate
    Ffordd Pengam
    Cardiff
    CF24 2SA
    UNITED KINGDOM
    Phone
    +442920890444

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

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

  • Investment Advice (no pensions)

    For Commercial, 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
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, 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
    • · 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 Setup

    For Commercial, 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Ian George Price

    IRN IGP01010

    • Responsible for Insurance Distribution (1 Oct 2018 to 16 Apr 2019)
    • CF30 Customer (1 Nov 2007 to 16 Apr 2019)
    • CF1 Director (16 May 2005 to 16 Apr 2019)
    • Responsible for Insurance Mediation (16 May 2005 to 30 Sep 2018)
    • CF8 Apportionment and Oversight (16 May 2005 to 31 Mar 2009)
    • CF21 Investment Adviser (16 May 2005 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (16 May 2005 to 16 Apr 2019)
    • CF10 Compliance Oversight (16 May 2005 to 16 Apr 2019)
  • Janet Burfitt

    IRN JXB00342

    • SMF3 Executive Director (15 Mar 2021 to 17 May 2023)
  • Keith Arthur Wrightson

    IRN KAW00008

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Dec 2020)
    • SMF16 Compliance Oversight (9 Dec 2019 to 22 Dec 2020)
    • SMF3 Executive Director (9 Dec 2019 to 22 Dec 2020)
    • CF30 Customer (21 May 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (21 May 2019 to 8 Dec 2019)
    • Responsible for Insurance Distribution (21 May 2019 to 22 Dec 2020)
    • CF11 Money Laundering Reporting (21 May 2019 to 8 Dec 2019)
    • CF1 Director (21 May 2019 to 8 Dec 2019)
  • Kenneth John Burfitt

    IRN KJB01107

    • 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)
    • SMF16 Compliance Oversight (since 12 Jul 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 12 Jul 2022)
    • Responsible for Insurance Distribution (since 12 Jul 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (10 May 2019 to 8 Dec 2019)
    • CF30 Customer (10 May 2019 to 8 Dec 2019)
  • Philip Ronald Kline

    IRN PRK00016

    • Responsible for Insurance Distribution (11 Aug 2021 to 31 Jul 2022)
    • SMF16 Compliance Oversight (11 Aug 2021 to 31 Jul 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (11 Aug 2021 to 31 Jul 2022)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.