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.

• Neil Keller

  IRN NXK00263

  • [FCA CF] Significant management (since 31 Jul 2023)
• Nicholas Frederick Jones

  IRN NFJ01005

  • CF10a CASS Oversight function (12 Mar 2018 to 8 Dec 2019)
• Nicholas James French

  IRN NJF01081

  • SMF18 Other Overall Responsibility (14 May 2025 to 31 Dec 2025)
  • [FCA CF] Material risk taker (18 Feb 2025 to 20 May 2025)
  • [FCA CF] Manager of certification employee (18 Feb 2025 to 20 May 2025)
• Nicholas Raine

  IRN NXR01485

  • SMF3 Executive Director (9 Dec 2019 to 29 Apr 2021)
  • CF1 Director (23 Mar 2016 to 8 Dec 2019)
• Nicola Townsend

  IRN NXT00095

  • [FCA CF] Significant management (9 Dec 2019 to 17 Dec 2021)
• Owen Lambert

  IRN OXL00022

  • [FCA CF] Significant management (since 9 Dec 2019)
• Owen Wall

  IRN OXW00075

  • [FCA CF] Significant management (since 19 Dec 2023)
• Patrick John Mill

  IRN PJM01489

  • SMF1 Chief Executive (since 11 Aug 2021)
  • SMF3 Executive Director (since 11 Aug 2021)
• Paul Kenneth Parry

  IRN PKP01017

  • SMF3 Executive Director (9 Dec 2019 to 29 Apr 2021)
  • CF10a CASS Oversight function (20 Jan 2016 to 12 Mar 2018)
  • CF1 Director (13 Feb 2015 to 8 Dec 2019)
  • CF29 Significant management (10 Oct 2011 to 22 Apr 2015)
• Paul Martin Boston

  IRN PMB01239

  • SMF3 Executive Director (9 Dec 2019 to 29 Apr 2021)
  • CF1 Director (23 Mar 2016 to 8 Dec 2019)

No changes recorded yet.