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.

• Sarah Lanfear

  IRN SFL01012

  • [FCA CF] Significant management (9 Dec 2019 to 29 Sep 2023)
• Shaun Glass

  IRN SXG00339

  • [FCA CF] Significant management (3 Nov 2020 to 31 May 2022)
• Shaun Jonathan Allwright

  IRN SJA01214

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

  IRN SXM04735

  • [FCA CF] Material risk taker (since 20 May 2025)
• Sophie Hall

  IRN SJH01412

  • [FCA CF] Material risk taker (since 1 Feb 2026)
• Susan Smith

  IRN SXS02403

  • SMF17 Money Laundering Reporting Officer (MLRO) (13 Nov 2023 to 28 Jun 2024)
  • SMF16 Compliance Oversight (13 Nov 2023 to 28 Jun 2024)
• Thomas Robert Grey Dudley

  IRN TRD01005

  • SMF4 Chief Risk (10 Sep 2021 to 3 Nov 2023)
• Timothy Philip Levy

  IRN TPL01019

  • CF2 Non Executive Director (16 Sep 2008 to 31 Dec 2015)
• Toby William Larkman

  IRN TXL10557

  • SMF24 Chief Operations (since 16 May 2025)
  • [FCA CF] Manager of certification employee (19 Mar 2025 to 20 May 2025)
  • [FCA CF] Material risk taker (19 Mar 2025 to 20 May 2025)
• Tony Hicks

  IRN TXH00396

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

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