MHA Wealth Limited

• Principal Place of Business

  Century House

  1 The Lakes

  Northampton

  Northamptonshire

  NN4 7HD

  UNITED KINGDOM

  Phone

  +441604621421

  Web

  https://www.mha.co.uk

• Complaints Contact

  Century House

  1 The Lakes

  Northampton

  Northamptonshire

  NN4 7HD

  UNITED KINGDOM

  Phone

  +441604621421

• P2P Lending Advice

  For Commercial, Eligible Counterparty, 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, Eligible Counterparty, 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

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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

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  • · Firm is permitted to carry on this activity in relation to first charge mortgages only

• 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, Eligible Counterparty, 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

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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

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  • · Firm is permitted to carry on this activity in relation to first charge mortgages only

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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 Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Non-investment insurance contracts, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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 Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Eligible Counterparty, 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

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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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Malcolm Paul Smith

  IRN MPS01066

  • CF10 Compliance Oversight (14 Jul 2003 to 27 Oct 2003)
  • CF8 Apportionment and Oversight (29 Jan 2002 to 27 Oct 2003)
  • CF3 Chief Executive (29 Jan 2002 to 27 Oct 2003)
  • CF1 Director (1 Dec 2001 to 29 Dec 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 27 Oct 2003)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 11 Mar 2003)
• Marcus Jonathon Bull

  IRN MJB00148

  • [FCA CF] Client dealing (14 Apr 2022 to 7 Apr 2026)
  • [FCA CF] Functions requiring qualifications (14 Apr 2022 to 7 Apr 2026)
  • [FCA CF] Material risk taker (14 Apr 2022 to 14 Jan 2026)
• Mark Garner

  IRN MRG01083

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Jan 2026)
  • SMF16 Compliance Oversight (since 5 Jan 2026)
• Mark Nicholas Leach

  IRN MNL00002

  • CF30 Customer (1 Nov 2007 to 30 Nov 2011)
  • Responsible for Insurance Mediation (11 Feb 2005 to 30 Nov 2011)
  • CF1 Director (6 May 2003 to 27 Apr 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Michael John Hamborg

  IRN MJH01298

  • CF11 Money Laundering Reporting (3 Nov 2014 to 30 Apr 2015)
  • CF10 Compliance Oversight (3 Nov 2014 to 30 Apr 2015)
  • CF28 Systems and controls (1 Nov 2007 to 15 Apr 2015)
  • CF13 Finance (24 Jul 2003 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 15 Apr 2015)
• Natalie Anne Sabin

  IRN NAS01073

  • CF26 Customer Trading (19 Mar 2002 to 9 Oct 2002)
• Neil William Hales-Jerkins

  IRN NWH01018

  • CF13 Finance (1 Dec 2001 to 20 Jun 2003)
• Nicholas Luke Saunders

  IRN NLS01015

  • CF11 Money Laundering Reporting (1 Mar 2013 to 26 Oct 2014)
  • CF10 Compliance Oversight (1 Mar 2013 to 26 Oct 2014)
• Nicola Jane Bowerbank

  IRN NJB00070

  • CF21 Investment Adviser (1 Dec 2001 to 19 Aug 2003)
• Paul Alan Mansfield

  IRN PXM01687

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 3 Jun 2024)
  • [FCA CF] Client dealing (since 3 Jun 2024)
  • [FCA CF] Material risk taker (3 Jun 2024 to 14 Jan 2026)

• Paul Ernest Barnes (no longer appointed)

  FRN 205918 · Appointed 1 Jan 1996 · Until 15 Jul 2002

No changes recorded yet.