Plutus Wealth Management LLP

• Principal Place of Business

  Aldwych House

  71-91 Aldwych

  London

  WC2B 4HN

  UNITED KINGDOM

  Phone

  +4402078715200

  Web

  https://www.plutuswealth.com

• Complaints Contact

  Aldwych House

  71-91 Aldwych

  London

  WC2B 4HN

  UNITED KINGDOM

  Phone

  +4402078715200

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

  Show 1 limitation Hide limitations

  • · 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.

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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 Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

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  • · Limited to not brokering credit for the purpose of increasing the funds available for investment.

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with investment advice and buy-to-let mortgages and second charge mortgages.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Kristopher Karr Heck

  IRN KKH00015

  • CF4 Partner (AR) (12 Nov 2012 to 31 Mar 2014)
  • CF30 Customer (24 Oct 2012 to 31 Mar 2014)
• Mark Armstrong Croxford

  IRN MAC01335

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • Responsible for Insurance Distribution (since 21 Jul 2023)
  • SMF16 Compliance Oversight (since 21 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (17 Dec 2014 to 8 Dec 2019)
  • CF30 Customer (27 Jun 2013 to 8 Dec 2019)
  • CF4 Partner (3 Jan 2012 to 8 Dec 2019)
• Mark Coomber

  IRN MXC02023

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Nov 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2022)
  • CF30 Customer (24 Aug 2017 to 8 Dec 2019)
• Philip Anthony Forrester

  IRN PAF01114

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 9A. Advising on P2P agreements
  • 21. Advising or arranging (bringing about) equity release transactions
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (17 Dec 2013 to 8 Dec 2019)
• Robert John Forbes

  IRN RJF01126

  • CF4 Partner (3 Jan 2012 to 5 Oct 2014)
  • CF30 Customer (3 Jan 2012 to 19 Dec 2014)
  • CF11 Money Laundering Reporting (3 Jan 2012 to 3 Dec 2014)
  • CF10 Compliance Oversight (3 Jan 2012 to 3 Dec 2014)
• Ross Stephen Yiend

  IRN RSY01003

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Oct 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 5 Oct 2023)
  • SMF27 Partner (9 Dec 2019 to 5 Oct 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 5 Oct 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 5 Oct 2023)
  • Responsible for Insurance Mediation (20 Jun 2018 to 30 Sep 2018)
  • Responsibility for MCD Intermediation (20 Jun 2018 to 5 Oct 2023)
  • CF10 Compliance Oversight (17 Dec 2014 to 8 Dec 2019)
  • CF4 Partner (3 Jan 2012 to 8 Dec 2019)
  • CF30 Customer (3 Jan 2012 to 8 Dec 2019)
• Ruban James Sanmuganathan

  IRN RJS01294

  • 9A. Advising on P2P agreements
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 11. Pension transfer specialist
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (23 Dec 2016 to 8 Dec 2019)
• Sebastian George Hurst

  IRN SGH01108

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Oct 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 5 Oct 2023)
  • CF30 Customer (24 Feb 2015 to 8 Dec 2019)
• Stefan Starr

  IRN SXS01208

  • 9A. Advising on P2P agreements
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 21 May 2024)
  • [FCA CF] Functions requiring qualifications (since 21 May 2024)
• Thomas Harry Diaper

  IRN THD01029

  • CF30 Customer (3 Jan 2012 to 1 Jan 2017)

• London PF Ltd (no longer appointed)

  FRN 628546 · Appointed 17 Jul 2014 · Until 18 Aug 2021

• Tanager Wealth Management LLP (no longer appointed)

  FRN 589845 · Appointed 17 Oct 2012 · Until 31 Mar 2014

No changes recorded yet.