Mallory Wealth Limited

Date authorised
25 May 2022
Companies House
13166366
Last scraped
6 days ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    20 North Audley Street
    London
    W1K 6WE
    UNITED KINGDOM
    Phone
    +4402071291177
    Web
    https://www.mallorywealth.com

  • Complaints Contact

    20 North Audley Street
    London
    W1K 6WE
    UNITED KINGDOM
    Phone
    +4402071291177

What this firm is allowed to do

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

  • 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

    Show 2 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.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

  • 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

    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, 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, 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
    • · 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, 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, 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
    • · 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.

  • David Christopher Stewart Clark

    IRN DCC01042

    • SMF3 Executive Director (since 25 May 2022)
    • Responsible for Insurance Distribution (25 May 2022 to 24 Jan 2023)
  • Paul Andrew Allen

    IRN PAA01034

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • Responsible for Insurance Distribution (since 16 Jan 2023)
    • SMF3 Executive Director (since 16 Jan 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 May 2022)
    • [FCA CF] Client dealing (since 25 May 2022)
    • [FCA CF] Functions requiring qualifications (since 25 May 2022)
    • [FCA CF] Manager of certification employee (since 25 May 2022)
    • SMF16 Compliance Oversight (25 May 2022 to 24 Jan 2023)
  • Thomas Luke Milson

    IRN TLM01023

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 16 Jan 2023)
    • SMF3 Executive Director (since 16 Jan 2023)
    • [FCA CF] Manager of certification employee (since 25 May 2022)
    • [FCA CF] Client dealing (since 25 May 2022)
    • [FCA CF] Functions requiring qualifications (since 25 May 2022)
    • Responsible for Insurance Distribution (16 Jan 2023 to 24 Jan 2023)

Recent activity

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

No changes recorded yet.