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.

• Peter Bramwell Cartwright

  IRN PBC01034

  • Director of firm who is not a certification employee or a SMF manager (30 Apr 2021 to 25 Jan 2024)
• Peter James Wasko

  IRN PJW01127

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 30 Jun 2023)
• Pippa Russell

  IRN PXR00199

  • [FCA CF] Significant management (9 Dec 2019 to 10 Sep 2021)
• Rachel Ramsey

  IRN RXR00524

  • [FCA CF] Material risk taker (since 21 Nov 2025)
• Richard Anthony Britten Westlake

  IRN RAW01162

  • CF11 Money Laundering Reporting (16 Sep 2008 to 28 Feb 2012)
  • CF10 Compliance Oversight (16 Sep 2008 to 28 Feb 2012)
• Richard Graham Denning

  IRN RGD01056

  • CF30 Customer (16 Sep 2008 to 23 Dec 2008)
  • CF29 Significant management (16 Sep 2008 to 22 Sep 2011)
• Richard Warne

  IRN RAW01122

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 30 Jun 2023)
• Robert Christopher Massey

  IRN RCM01130

  • Director of firm who is not a certification employee or a SMF manager (30 Apr 2021 to 20 Feb 2026)
• Robert Thomas Vaudry

  IRN RTV01004

  • SMF18 Other Overall Responsibility (3 Nov 2021 to 9 Oct 2024)
  • SMF3 Executive Director (5 Feb 2021 to 29 Apr 2021)
• Rod McClair-Burgess

  IRN RXM01243

  • [FCA CF] Manager of certification employee (since 3 Nov 2025)
  • [FCA CF] Material risk taker (since 3 Nov 2025)

No changes recorded yet.