Leodis Wealth Limited

• Principal Place of Business

  Unit 14

  Pavilion Business Park

  Royds Hall Road

  Leeds

  LS12 6AJ

  UNITED KINGDOM

  Phone

  +441134878660

  Web

  https://www.amberriver.com

• Complaints Contact

  Unit 14

  Pavilion Business Park

  Royds Hall Road

  Leeds

  LS12 6AJ

  UNITED KINGDOM

  Phone

  +441134878669

• 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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  • · 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.
  • · 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 Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Trade Settlement Routing

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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 Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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.

• Electronic Trade Settlement

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Option (excluding a commodity option and an option on a commodity future), 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.

• Helen Elizabeth Powell

  IRN HEA01005

  • [FCA CF] Client dealing (31 Jul 2023 to 31 Mar 2026)
  • [FCA CF] Functions requiring qualifications (31 Jul 2023 to 31 Mar 2026)
• Jillian Mary Roberts

  IRN JMD01151

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 15 Dec 2025)
  • [FCA CF] Functions requiring qualifications (since 15 Dec 2025)
• Jillian Susanne Thomas

  IRN JST00005

  • [FCA CF] Functions requiring qualifications (31 Aug 2023 to 28 Feb 2025)
  • [FCA CF] Client dealing (31 Aug 2023 to 28 Feb 2025)
  • [FCA CF] Significant management (31 Aug 2023 to 28 Feb 2025)
• Kevin Harry Emsley

  IRN KHE01003

  • SMF3 Executive Director (9 Dec 2019 to 6 Jul 2022)
  • CF1 Director (1 Dec 2015 to 8 Dec 2019)
• Kim Spence

  IRN KXT01146

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2022)
  • [FCA CF] Client dealing (since 11 Oct 2021)
  • Appointed representative dealing with clients for which they require qualification (11 Oct 2021 to 1 Sep 2022)
• Lee Charles Glennan

  IRN LCG00004

  • 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 30 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 30 Jul 2024)
• Mohammed Shabab Gulfraz

  IRN MSG01085

  • CF30 Customer (27 Jun 2016 to 6 Sep 2016)
• Myles Cary Locke

  IRN MXL00460

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 12 Feb 2026)
  • [FCA CF] Client dealing (since 12 Feb 2026)
• Nicholas Cohen

  IRN NXC00021

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 28 Oct 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2022)
  • [FCA CF] Client dealing (since 18 May 2022)
  • Appointed representative dealing with clients for which they require qualification (18 May 2022 to 1 Sep 2022)
• Nicky Wardle

  IRN NXW01135

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 16 Oct 2025)
  • [FCA CF] Manager of certification employee (since 1 Sep 2022)
  • [FCA CF] Client dealing (since 1 Sep 2022)
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2022)
  • Appointed representative dealing with clients for which they require qualification (3 Aug 2020 to 1 Sep 2022)

• Leodis Wealth Financial Planning Limited (no longer appointed)

  FRN 841469 · Appointed 7 May 2019 · Until 2 Sep 2022 · Tied agent

No changes recorded yet.