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.

• Kelly Bowden

  IRN KXB00558

  • [FCA CF] Significant management (11 Jun 2023 to 19 Jun 2025)
• Kenneth Fry

  IRN KXF01054

  • Director of firm who is not a certification employee or a SMF manager (30 Apr 2021 to 28 Dec 2023)
• Kylie Clark

  IRN KXC00078

  • [FCA CF] Material risk taker (since 16 Dec 2025)
• Liam Osborne

  IRN LXO00057

  • [FCA CF] Significant management (9 Dec 2019 to 25 Oct 2023)
• Lucy Jane Bristow

  IRN LJB01196

  • SMF18 Other Overall Responsibility (19 Oct 2023 to 30 Jun 2025)
• Lynzi Harrison

  IRN LXH01632

  • SMF24 Chief Operations (12 Jul 2022 to 7 Nov 2022)
• Mark Richard Sutton

  IRN MRS01317

  • SMF4 Chief Risk (since 11 Feb 2026)
• Mark Winlow

  IRN MXW02016

  • SMF9 Chair of the Governing Body (since 24 Dec 2021)
  • SMF12 Chair of the Remuneration Committee (since 24 Dec 2021)
  • SMF13 Chair of the Nominations Committee (since 24 Dec 2021)
• Martina Swart

  IRN MXS90403

  • SMF10 Chair of the Risk Committee (since 19 Jan 2024)
• Michael David Blackburn

  IRN MXB00242

  • [FCA CF] Significant management (since 7 Aug 2023)

No changes recorded yet.