MM Wealth Ltd

• Principal Place of Business

  M M Wealth Ltd, Unit 1

  Wellbrook Court

  Girton

  Cambridge

  Cambridgeshire

  CB3 0NA

  UNITED KINGDOM

  Phone

  +4401223233331

  Web

  https://www.mmwealth.co.uk

• Complaints Contact

  M M Wealth Ltd, Unit 1

  Wellbrook Court

  Girton

  Cambridge

  Cambridgeshire

  CB3 0NA

  UNITED KINGDOM

  Phone

  +441223233331

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Eligible Counterparty, Professional, Retail (Investment), Life Policy, Personal pension scheme, Stakeholder pension scheme, Unit

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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.

• 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), 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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.

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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

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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.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), 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 Professional, Retail (Investment), Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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.

• Adrian Brown

  IRN ARB00005

  • 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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 29 Jun 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 3 Jun 2024)
  • SMF3 Executive Director (9 Dec 2019 to 1 Feb 2023)
  • CF1 Director (14 Aug 2012 to 8 Dec 2019)
  • CF30 Customer (14 Aug 2012 to 8 Dec 2019)
• Adrian Francis John Atkinson

  IRN AFA00001

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • 11. Pension transfer specialist
  • SMF3 Executive Director (since 9 Dec 2019)
  • [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 29 Jun 2022)
  • CF1 Director (18 Mar 2008 to 8 Dec 2019)
  • CF30 Customer (18 Mar 2008 to 8 Dec 2019)
• Andrew John Parkinson

  IRN AJP00061

  • CF30 Customer (1 Nov 2007 to 2 Jun 2009)
  • CF21 Investment Adviser (19 Sep 2007 to 31 Oct 2007)
• Baris Furlonger

  IRN BXF00135

  • [FCA CF] Functions requiring qualifications (31 Mar 2023 to 6 Nov 2024)
  • [FCA CF] Client dealing (31 Mar 2023 to 6 Nov 2024)
• Christina Stephanie Heslop

  IRN CXH00583

  • SMF3 Executive Director (since 15 Nov 2022)
• David Alexander Worrall

  IRN DXW00415

  • 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 4 Jan 2022)
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2022)
• David Anthony Jones

  IRN DAJ00004

  • Director of firm who is not a certification employee or a SMF manager (since 1 Jan 2021)
  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Jan 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 12 Nov 2018)
  • Responsible for Insurance Mediation (21 Nov 2016 to 30 Sep 2018)
  • CF10 Compliance Oversight (4 Dec 2012 to 12 Nov 2018)
  • CF11 Money Laundering Reporting (4 May 2011 to 12 Nov 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (21 Nov 2003 to 31 Oct 2007)
  • CF1 Director (21 Nov 2003 to 8 Dec 2019)
• David Clive Thurlow

  IRN DCT00004

  • 11. Pension transfer specialist
  • 9A. Advising on P2P agreements
  • 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
  • 3. Giving personal recommendations on derivatives
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 13. Giving personal recommendations on and dealing with derivatives
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 29 Jun 2022)
  • CF30 Customer (30 Aug 2018 to 8 Dec 2019)
• Fiona Elizabeth Joy Karlin

  IRN FEK01000

  • CF30 Customer (22 Feb 2008 to 22 Feb 2008)
• Gary King

  IRN GXK00140

  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 25 May 2022)

No changes recorded yet.