Novia Financial Plc

• Principal Place of Business

  2nd Floor Royal Mead

  Railway Place

  Bath

  Somerset

  BA1 1SR

  UNITED KINGDOM

  Phone

  +443456808000

  Web

  https://www.wealthtime.com

• Complaints Contact

  2nd Floor Royal Mead

  Railway Place

  Bath

  Bath

  Somerset

  BA1 1SR

  UNITED KINGDOM

  Phone

  +443456808000

• 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

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

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit, Warrant

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

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

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

• Trades With You Directly

  For Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

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  • · limited to dealing in rights in the personal pension scheme(s) that it operates.

• Runs Personal Pensions

  For Eligible Counterparty, Professional, Retail (Investment), Personal pension scheme

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Structured Deposits, Unit, Warrant

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

• Manages Your Portfolio

  For Professional, Retail (Investment), Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), 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, Share, 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.
  • · Limited to investment management activities for the specified customer types.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit, Warrant

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

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Unit, Warrant

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

• Abbie Rees

  IRN AXR00335

  • [FCA CF] Material risk taker (since 20 Mar 2025)
• Aine Foley

  IRN AXF00235

  • [FCA CF] Significant management (9 Dec 2019 to 18 Nov 2022)
• Alexander John Dominic Easton

  IRN AJE01118

  • SMF2 Chief Finance (18 Jun 2021 to 14 Jul 2021)
  • SMF3 Executive Director (18 Jun 2021 to 14 Jul 2021)
  • CF10a CASS Oversight function (1 Oct 2011 to 8 Jan 2016)
  • CF28 Systems and controls (16 Sep 2008 to 8 Jan 2016)
• Anthony Brian Cleaver

  IRN CXA01285

  • SMF9 Chair of the Governing Body (9 Dec 2019 to 19 Oct 2020)
  • CF2 Non Executive Director (16 Sep 2008 to 8 Dec 2019)
• Barry Neilson

  IRN BXN01141

  • SMF18 Other Overall Responsibility (26 Aug 2022 to 31 Mar 2023)
• Brett Hanlon

  IRN BXH00165

  • [FCA CF] Significant management (9 Dec 2019 to 10 Mar 2023)
• Brett Richard Ball

  IRN BXB35325

  • [FCA CF] CASS oversight function (since 19 Oct 2023)
  • [FCA CF] Significant management (19 Oct 2023 to 20 Oct 2023)
• Charlotte Taylor-Evans

  IRN CXT00565

  • [FCA CF] Material risk taker (since 1 Feb 2026)
• Chris Belbin

  IRN CXB00868

  • [FCA CF] Significant management (19 Oct 2023 to 30 Jun 2025)
• Chris Homes

  IRN CXH01674

  • [FCA CF] Significant management (9 Dec 2019 to 18 Feb 2022)

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