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.

• Paul Richard Stewart

  IRN PRS01177

  • CF30 Customer (16 Sep 2019 to 8 Dec 2019)
• Paul Wilson Smith

  IRN PWS01045

  • Responsible for Insurance Distribution (1 Oct 2018 to 10 Dec 2018)
  • CF10a CASS Oversight function (1 Dec 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2015 to 10 Dec 2018)
  • CF1 Director (1 Dec 2015 to 10 Dec 2018)
  • CF30 Customer (1 Dec 2015 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Dec 2015 to 30 Sep 2018)
• Peter Simon Blant

  IRN PSB00046

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 13 May 2024)
  • [FCA CF] Client dealing (since 13 May 2024)
• Philip Edward John Organ

  IRN PEO01007

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • SMF3 Executive Director (9 Dec 2019 to 1 Apr 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2025)
  • CF1 Director (2 Jan 2019 to 8 Dec 2019)
  • CF30 Customer (27 Jun 2017 to 8 Dec 2019)
• Philip Robert Smith

  IRN PRS01168

  • Appointed representative dealing with clients for which they require qualification (18 Feb 2021 to 31 Jan 2022)
• Robin Ghosh

  IRN RNG01010

  • CF30 Customer (1 Dec 2015 to 20 Jul 2018)
• Rosemary Jane Braithwaite

  IRN RJH01393

  • [FCA CF] Functions requiring qualifications (5 Aug 2024 to 23 Apr 2026)
  • [FCA CF] Client dealing (5 Aug 2024 to 23 Apr 2026)
• Samantha Williams

  IRN SXW02338

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 31 Aug 2023)
  • [FCA CF] Client dealing (since 31 Aug 2023)
• Simon John Cocking

  IRN SJC00018

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Responsibility for MCD Intermediation (since 16 Sep 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 6 Mar 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Nov 2023)
  • CF10 Compliance Oversight (2 Jan 2019 to 8 Dec 2019)
  • CF3 Chief Executive (2 Jan 2019 to 8 Dec 2019)
  • CF1 Director (1 Dec 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2015 to 8 Dec 2019)
  • CF30 Customer (1 Dec 2015 to 8 Dec 2019)
• Stephen William Rudd

  IRN SWR01026

  • [FCA CF] Functions requiring qualifications (1 Sep 2022 to 10 Feb 2023)
  • Appointed representative dealing with clients for which they require qualification (22 Apr 2022 to 1 Sep 2022)
  • [FCA CF] Client dealing (22 Apr 2022 to 10 Feb 2023)

• Leodis Wealth Financial Planning Limited (no longer appointed)

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

No changes recorded yet.