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.

• Paul Andrew Freeman

  IRN PAF00018

  • [FCA CF] Client dealing (11 Nov 2021 to 15 May 2023)
  • [FCA CF] Functions requiring qualifications (11 Nov 2021 to 15 May 2023)
• Peter Francis Newton

  IRN PFN00007

  • CF30 Customer (1 Nov 2007 to 30 Mar 2011)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Mar 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 30 Mar 2011)
• Peter Roy Harrington

  IRN PRH00008

  • Responsible for Insurance Mediation (19 Jul 2011 to 20 Jul 2016)
  • CF11 Money Laundering Reporting (29 Jun 2011 to 20 Jul 2016)
  • CF30 Customer (1 Nov 2007 to 20 Jul 2016)
  • CF24 Pension Transfer Specialist (17 Nov 2006 to 31 Oct 2007)
  • CF10 Compliance Oversight (25 Oct 2004 to 20 Jul 2016)
  • CF1 Director (25 Oct 2004 to 20 Jul 2016)
  • CF21 Investment Adviser (17 Jul 2003 to 31 Oct 2007)
• Philip James Payne

  IRN PJP00002

  • 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)
  • Responsible for Insurance Distribution (since 20 Aug 2021)
  • SMF3 Executive Director (since 20 Aug 2021)
  • [FCA CF] Client dealing (since 1 Jan 2020)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
• Richard Pendrice Bevington

  IRN RPB00035

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • CF1 Director (AR) (since 31 Mar 2022)
  • SMF16 Compliance Oversight (since 20 Aug 2021)
  • SMF3 Executive Director (since 20 Aug 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Aug 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • [FCA CF] Client dealing (since 1 Jan 2020)
• Sameer Pankaj Bakshi

  IRN SPB01234

  • CF1 Director (AR) (since 24 Jan 2022)
  • SMF16 Compliance Oversight (9 Jun 2020 to 4 Oct 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Jun 2020 to 4 Oct 2021)
  • SMF3 Executive Director (9 Dec 2019 to 4 Oct 2021)
  • CF1 Director (3 May 2017 to 8 Dec 2019)
• Samuel Michael Parry

  IRN SMP01197

  • CF30 Customer (1 Aug 2018 to 16 Sep 2019)
• Sara Louise Davies

  IRN SXD00451

  • 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
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Jan 2024)
  • [FCA CF] Client dealing (since 9 Jan 2024)
• Sean Paul Escott

  IRN SXE00116

  • [FCA CF] Client dealing (6 Oct 2021 to 13 Mar 2023)
  • [FCA CF] Functions requiring qualifications (6 Oct 2021 to 13 Mar 2023)
• Simon James Maxwell Robinson

  IRN SXR00977

  • 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 19 Jun 2025)
  • [FCA CF] Client dealing (since 19 Jun 2025)

• HODGE BAKSHI WEALTH MANAGEMENT LTD

  FRN 929765 · Appointed 17 Jan 2022

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