MitonOptimal Portfolio Management (UK) Limited

• Principal Place of Business

  Mitonoptimal Portfolio Management (UK) Ltd

  Derwent House 42-46

  Waterloo Road

  Wolverhampton

  WV1 4XB

  UNITED KINGDOM

  Phone

  +4401902712233

  Web

  https://www.mitonoptimal.co.uk

• Complaints Contact

  Mitonoptimal Portfolio Management (UK) Ltd

  Derwent House 42-46

  Waterloo Road

  Wolverhampton

  WV1 4XB

  UNITED KINGDOM

  Phone

  +4401902712233

• P2P Lending Advice

  For Commercial, Professional

• 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 pension policies with a Guaranteed Annuity Rate.
  • · 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, 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, 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.

• 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, 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, 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.

• 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 (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.

• Alexander Groat Baker

  IRN AGB00027

  • [FCA CF] Client dealing (9 Dec 2019 to 14 Jan 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Jan 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Jan 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 14 Jan 2022)
  • SMF3 Executive Director (9 Dec 2019 to 14 Jan 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 14 Jan 2022)
  • CF1 Director (1 Sep 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Sep 2017 to 30 Sep 2018)
  • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Sep 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Sep 2017 to 8 Dec 2019)
• Anne Sajeev Kochumman

  IRN AXK00705

  • Director of firm who is not a certification employee or a SMF manager (since 26 Apr 2023)
• Anthony Mark Edward Quigley

  IRN AMQ00001

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
• Darren Wood

  IRN DXW01477

  • [FCA CF] Client dealing (12 Jan 2024 to 10 Jun 2024)
  • [FCA CF] Functions requiring qualifications (12 Jan 2024 to 10 Jun 2024)
• Derek Dixon

  IRN DXD01787

  • 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] Client dealing (since 9 Aug 2024)
  • [FCA CF] Functions requiring qualifications (since 9 Aug 2024)
• Fiona Geraldine McCaig

  IRN FGM00001

  • Responsible for Insurance Distribution (27 May 2022 to 30 Apr 2024)
  • SMF16 Compliance Oversight (27 May 2022 to 30 Apr 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (27 May 2022 to 30 Apr 2024)
  • SMF3 Executive Director (5 Oct 2021 to 30 Apr 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Apr 2024)
  • CF30 Customer (1 Sep 2017 to 8 Dec 2019)
• Gurjeevan Singh Manak

  IRN GXM00621

  • [FCA CF] Client dealing (9 Jan 2024 to 31 Oct 2025)
  • [FCA CF] Functions requiring qualifications (9 Jan 2024 to 31 Oct 2025)
• Ian Christopher Shrimplin

  IRN ICS01053

  • 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 26 Aug 2025)
  • [FCA CF] Client dealing (since 26 Aug 2025)
• James Paul Butler

  IRN JXB01905

  • 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 20 Apr 2026)
  • [FCA CF] Client dealing (since 20 Apr 2026)
• Lyndon Trott

  IRN LXT00188

  • Director of firm who is not a certification employee or a SMF manager (1 Aug 2022 to 9 Mar 2023)

No changes recorded yet.