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.

• Scott Kent

  IRN SXK19305

  • [FCA CF] Material risk taker (9 Dec 2019 to 14 Jan 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 20 Feb 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 Feb 2026)
  • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
• Scott Newbould

  IRN SXN01801

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 31 Dec 2025)
  • [FCA CF] Client dealing (9 Dec 2020 to 31 Dec 2025)
  • [FCA CF] Material risk taker (9 Dec 2020 to 31 Dec 2025)
• Shelley James

  IRN SNB01020

  • CF22 Investment Adviser (Trainee) (24 May 2002 to 8 Nov 2002)
  • CF26 Customer Trading (24 May 2002 to 18 Nov 2002)
• Simon Anthony Harvey

  IRN SAH01100

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 14 Jan 2026)
  • [FCA CF] Material risk taker (9 Dec 2019 to 14 Jan 2026)
  • [FCA CF] Significant management (9 Dec 2019 to 14 Jan 2026)
  • SMF1 Chief Executive (9 Dec 2019 to 2 Apr 2026)
  • CF3 Chief Executive (12 Mar 2019 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (2 May 2003 to 8 Dec 2019)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Simon Marshall James

  IRN SMJ01056

  • [FCA CF] Client dealing (20 Feb 2023 to 7 Jun 2024)
  • [FCA CF] Functions requiring qualifications (20 Feb 2023 to 7 Jun 2024)
  • [FCA CF] Material risk taker (20 Feb 2023 to 7 Jun 2024)
• Stephen David Nield

  IRN SDN01013

  • CF27 Investment Management (1 Dec 2001 to 18 Aug 2003)
  • CF21 Investment Adviser (1 Dec 2001 to 18 Aug 2003)
  • CF1 Director (1 Dec 2001 to 18 Aug 2003)
• Stephen Hughes

  IRN SXH00004

  • CF21 Investment Adviser (1 Dec 2001 to 19 Aug 2003)
• Stephen Willerton

  IRN SXW01422

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 14 Jan 2026)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (6 Mar 2007 to 31 Oct 2007)
• Steven Thorpe

  IRN SXT00029

  • CF30 Customer (1 Nov 2007 to 11 Dec 2008)
  • CF21 Investment Adviser (24 Oct 2002 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (31 May 2002 to 24 Oct 2002)
• Timothy John Parker

  IRN TJP01051

  • CF30 Customer (1 Nov 2007 to 31 Dec 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

• Paul Ernest Barnes (no longer appointed)

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

No changes recorded yet.