MULBERRY WEALTH CLIENT SERVICES LIMITED

• Principal Place of Business

  366-370 Cyncoed Road

  Cardiff

  Caerdydd

  CF23 6SA

  UNITED KINGDOM

  Phone

  +4402920023333

  Web

  https://www.mulberrywealth.co.uk

• Complaints Contact

  366-370 Cyncoed Road

  Cardiff

  Caerdydd

  CF23 6SA

  UNITED KINGDOM

  Phone

  +4402920023333

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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 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), Stakeholder pension scheme, Structured Deposits, Unit

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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

• 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), Stakeholder pension scheme, Unit

  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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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), Stakeholder pension scheme, Unit

  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.

• Adam Deacon

  IRN ACD01136

  • SMF16 Compliance Oversight (9 Dec 2019 to 17 Jan 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 17 Jan 2020)
  • SMF3 Executive Director (9 Dec 2019 to 17 Jan 2020)
  • CF11 Money Laundering Reporting (30 Aug 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (30 Aug 2016 to 8 Dec 2019)
  • CF1 Director (30 Aug 2016 to 8 Dec 2019)
  • CF30 Customer (11 Aug 2016 to 8 Dec 2019)
• Adrian Keith James

  IRN AKJ01035

  • [FCA CF] Client dealing (7 Oct 2021 to 31 Jan 2024)
  • [FCA CF] Functions requiring qualifications (7 Oct 2021 to 31 Jan 2024)
• Alex James Russell

  IRN AXR00632

  • 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] Client dealing (since 8 Sep 2022)
  • [FCA CF] Functions requiring qualifications (since 8 Sep 2022)
• Alison Mary Davis

  IRN AMH01235

  • [FCA CF] Functions requiring qualifications (7 Oct 2021 to 31 Jan 2024)
  • [FCA CF] Client dealing (7 Oct 2021 to 31 Jan 2024)
• Fiona Louise Davies

  IRN FLD00002

  • [FCA CF] Functions requiring qualifications (8 Oct 2021 to 15 May 2023)
  • [FCA CF] Client dealing (8 Oct 2021 to 15 May 2023)
• Gareth Cozens

  IRN GXC01758

  • [FCA CF] Client dealing (1 Jan 2020 to 15 Sep 2022)
  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 15 Sep 2022)
• Gillian Rachel Leonard

  IRN GXL00045

  • [FCA CF] Client dealing (11 Nov 2021 to 16 Mar 2026)
  • [FCA CF] Functions requiring qualifications (11 Nov 2021 to 16 Mar 2026)
• Mark Andrew Vivian Morris

  IRN MAM01278

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF3 Executive Director (since 20 Aug 2021)
  • Responsibility for MCD Intermediation (since 7 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
• Mark Ashley Clive Crimmins

  IRN MXC00562

  • 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 8 Sep 2021)
  • [FCA CF] Client dealing (since 8 Sep 2021)
• Pankaj Shantilal Bakshi

  IRN PSB00049

  • CF1 Director (AR) (21 Jan 2022 to 5 Dec 2024)
  • SMF3 Executive Director (9 Dec 2019 to 17 May 2021)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)

• HODGE BAKSHI WEALTH MANAGEMENT LTD

  FRN 929765 · Appointed 17 Jan 2022

No changes recorded yet.