S G Wealth Management Limited

• Principal Place of Business

  53-57 St Martin's Lane

  Norwich

  NR3 3SA

  UNITED KINGDOM

  Phone

  +4401603760866

  Web

  https://www.sgwealthmanagement.co.uk

• Complaints Contact

  53-57 St Martin's Lane

  Norwich

  NR3 3SA

  UNITED KINGDOM

  Phone

  +4401603760866

• Pension Transfer Advice

  For Professional, 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

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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.

• Investment Advice (no pensions)

  For Commercial, 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

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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.

• 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 Commercial, 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

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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.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Investment Setup

  For Commercial, 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

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  • · Subject to this activity being limited to a non-mainstream regulated activity

• Helen Prentice

  IRN HXP00046

  • CF2 Non Executive Director (1 Dec 2001 to 10 Apr 2006)
• Henry James Gaskin

  IRN HJG01036

  • 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
  • 11. Pension transfer specialist
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 31 May 2024)
  • SMF3 Executive Director (since 5 Jan 2021)
  • Responsible for Insurance Distribution (since 5 Jan 2021)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (20 Mar 2012 to 8 Dec 2019)
• Joel Robert Davies

  IRN JRD01174

  • 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 (9 Jun 2022 to 10 Jun 2022)
  • [FCA CF] Functions requiring qualifications (9 Jun 2022 to 10 Jun 2022)
• John Griffin

  IRN JXG01413

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2025)
  • CF30 Customer (1 Jun 2014 to 8 Dec 2019)
• Katie Jeanette Jones

  IRN KJB01134

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Mar 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Mar 2024)
  • CF30 Customer (20 Mar 2012 to 20 May 2013)
• Kevin Squires

  IRN KXS01263

  • CF30 Customer (17 Jan 2013 to 16 May 2014)
• Lee Jamie Barrett

  IRN LXB27048

  • 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
  • [FCA CF] Client dealing (since 17 Mar 2025)
  • [FCA CF] Functions requiring qualifications (since 17 Mar 2025)
• Lewis Rump

  IRN LXR00166

  • [FCA CF] Functions requiring qualifications (1 Dec 2021 to 4 Nov 2022)
  • [FCA CF] Client dealing (1 Dec 2021 to 4 Nov 2022)
• Linda Mary Ann Kent

  IRN LMK00002

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (4 Oct 2007 to 31 Oct 2007)
• Matthew John Goddard

  IRN MJG00004

  • CF30 Customer (1 Sep 2011 to 30 Sep 2016)

• Stan Gaskin Limited (no longer appointed)

  FRN 577537 · Appointed 19 Mar 2012 · Until 6 Dec 2021

No changes recorded yet.