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.

• Nicola Claire Peak

  IRN NCP01056

  • 13. Giving personal recommendations on and dealing with derivatives
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • 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)
  • 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)
  • CF30 Customer (10 Feb 2017 to 8 Dec 2019)
• Owen Murfitt

  IRN OXM00001

  • CF30 Customer (1 Nov 2007 to 31 Jan 2008)
  • CF21 Investment Adviser (5 Jan 2007 to 31 Oct 2007)
• Paul Orrey

  IRN PXO01325

  • 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 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (19 Apr 2016 to 8 Dec 2019)
• Peter Nicholas Howard-Jones

  IRN PNH00005

  • CF30 Customer (1 Nov 2007 to 25 Nov 2008)
  • CF21 Investment Adviser (12 Dec 2003 to 31 Oct 2007)
• Peter Richard Wentworth Garside

  IRN PRG00001

  • CF30 Customer (5 Jun 2008 to 12 Dec 2008)
• Rajwinder Singh Basra

  IRN RSB01074

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (29 Oct 2012 to 8 Dec 2019)
• Richard Andrew Whiteman

  IRN RAW00024

  • CF21 Investment Adviser (19 Sep 2007 to 1 Oct 2007)
• Sarah Levett

  IRN SXL02094

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Oct 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Oct 2020)
  • CF30 Customer (7 Aug 2017 to 8 Dec 2019)
• Stephen James Doe

  IRN SJD01117

  • CF30 Customer (13 Mar 2008 to 25 Nov 2008)
• Stephen John Clifton

  IRN SJC00016

  • CF1 Director (2 Mar 2015 to 10 May 2016)
  • Responsible for Insurance Mediation (6 May 2011 to 17 Dec 2012)
  • CF10 Compliance Oversight (3 May 2011 to 17 Dec 2012)
  • CF30 Customer (1 Nov 2007 to 17 Dec 2012)
  • CF24 Pension Transfer Specialist (9 Jun 2005 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (21 Nov 2003 to 31 Mar 2009)
  • CF21 Investment Adviser (21 Nov 2003 to 31 Oct 2007)

No changes recorded yet.