MPL Wealth Management Limited

• Principal Place of Business

  45 Doughty Street

  London

  WC1N 2LR

  UNITED KINGDOM

  Phone

  +4402078314711

  Web

  https://www.mplwealthmanagement.co.uk

• Complaints Contact

  45 Doughty Street

  London

  WC1N 2LR

  UNITED KINGDOM

  Phone

  +4402078314711

• P2P Lending Advice

  For Commercial, 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, 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.

• 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, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Stockbroking

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Share, Stakeholder pension scheme, Structured Deposits, Unit

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management 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, 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), Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Share, Stakeholder pension scheme, Structured Deposits, Unit

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  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Michael Trawford

  IRN MJT00069

  • CF24 Pension Transfer Specialist (1 Dec 2001 to 4 Jul 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 4 Jul 2004)
• Milan Natubhai Patel

  IRN MXP01243

  • 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)
  • 9A. Advising on P2P agreements
  • [FCA CF] Client dealing (since 6 Jan 2026)
  • [FCA CF] Functions requiring qualifications (since 6 Jan 2026)
• Nigel White

  IRN NXW00009

  • CF21 Investment Adviser (20 Jan 2003 to 1 Oct 2004)
• Paul Mitchell

  IRN PXM00834

  • Responsible for Insurance Distribution (since 24 Mar 2026)
  • SMF16 Compliance Oversight (since 9 Mar 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Mar 2026)
• Peter Anthony Lewiston

  IRN PAL01119

  • Responsible for Insurance Distribution (1 Oct 2018 to 16 Apr 2019)
  • Responsible for Insurance Mediation (15 May 2013 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (3 Sep 2010 to 16 Apr 2019)
  • CF10 Compliance Oversight (3 Sep 2010 to 16 Apr 2019)
  • CF1 Director (3 Sep 2010 to 16 Apr 2019)
  • CF30 Customer (1 Nov 2007 to 5 Jun 2019)
  • CF21 Investment Adviser (1 Nov 2004 to 31 Oct 2007)
• Philip Michael Sutton

  IRN PMS01169

  • CF30 Customer (19 Jan 2010 to 16 Jan 2012)
• Richard Alistair Dawes

  IRN RAD01099

  • SMF3 Executive Director (since 4 Mar 2026)
  • CF30 Customer (1 Nov 2007 to 1 Jan 2013)
  • CF21 Investment Adviser (28 Oct 2004 to 31 Oct 2007)
• Richard John Wareham

  IRN RJW01361

  • CF30 Customer (1 Jun 2012 to 15 May 2019)
• Roland James Spicer

  IRN RJS01366

  • SMF3 Executive Director (9 Dec 2019 to 26 Nov 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Nov 2020)
  • CF1 Director (3 Sep 2010 to 8 Dec 2019)
  • CF30 Customer (27 Mar 2008 to 8 Dec 2019)
• Simon George Keith Weighell

  IRN SGW01039

  • 14. Managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (8 Dec 2010 to 8 Dec 2019)

No changes recorded yet.