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.

• Christopher James Bowles

  IRN CJB01484

  • SMF18 Other Overall Responsibility (14 Jan 2022 to 29 Mar 2022)
• Christopher Mark Blakeley

  IRN CMB00019

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 11 May 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 11 May 2023)
  • CF11 Money Laundering Reporting (23 May 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (23 May 2012 to 8 Dec 2019)
• Damian James Baker

  IRN DXB00964

  • [FCA CF] Significant management (2 Aug 2023 to 9 Sep 2024)
• Daniel Hinsley

  IRN DXH00801

  • [FCA CF] Significant management (30 Oct 2023 to 27 Jun 2025)
• David John George Royds

  IRN DJR01140

  • SMF9 Chair of the Governing Body (19 Oct 2020 to 29 Apr 2021)
  • CF2 Non Executive Director (16 Sep 2008 to 8 Dec 2019)
• David Joseph Howard

  IRN DXH21599

  • SMF3 Executive Director (9 Dec 2019 to 29 Apr 2021)
  • CF1 Director (3 Dec 2019 to 8 Dec 2019)
• Dean Ashton

  IRN DXA00184

  • [FCA CF] Significant management (18 Feb 2025 to 30 Jun 2025)
  • [FCA CF] Material risk taker (18 Feb 2025 to 30 Jun 2025)
• Derek Scott McKinnell

  IRN DSM01049

  • [FCA CF] Significant management (since 30 Oct 2023)
• Don Earl Scott

  IRN DXS75354

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 18 Nov 2024)
  • SMF16 Compliance Oversight (since 18 Nov 2024)
• Eden Scrivenger

  IRN EXS00068

  • SMF24 Chief Operations (20 Oct 2023 to 31 Dec 2024)
  • SMF18 Other Overall Responsibility (18 Nov 2022 to 20 Oct 2023)

No changes recorded yet.