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

• Michael William Moore

  IRN MWM00017

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (16 Feb 2011 to 8 Dec 2019)
• Neil Martin Dobson

  IRN NMD01020

  • [FCA CF] Client dealing (9 Dec 2019 to 26 Nov 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Nov 2021)
  • CF30 Customer (8 Jan 2018 to 8 Dec 2019)
• Neil Shillito

  IRN NXS00018

  • CF1 Director (AR) (5 Apr 2012 to 27 Jul 2018)
  • CF30 Customer (1 Nov 2007 to 27 Jul 2018)
  • CF27 Investment Management (9 Feb 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 27 Jul 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 10 Jun 2015)
• Rebecca Jade Welthy

  IRN RJW01388

  • [FCA CF] Client dealing (9 Jan 2024 to 24 Mar 2026)
  • [FCA CF] Functions requiring qualifications (9 Jan 2024 to 24 Mar 2026)
• Ryan Mark Oates

  IRN RMO01040

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (8 Mar 2016 to 8 Dec 2019)
• Stephen George Thomson

  IRN SGT01032

  • CF2 Non Executive Director (20 Dec 2007 to 24 Sep 2010)
• Stephen Michael Girling

  IRN SMG00007

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Dec 2023)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Dec 2023)
  • SMF1 Chief Executive (9 Dec 2019 to 15 Jan 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 15 Jan 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 Jan 2024)
  • SMF3 Executive Director (9 Dec 2019 to 15 Jan 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 16 Dec 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 16 Dec 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 15 Jan 2024)
  • CF3 Chief Executive (19 May 2016 to 8 Dec 2019)
  • CF1 Director (AR) (5 Apr 2012 to 28 Apr 2022)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
• Stuart Jeremy Sutton

  IRN SJS00041

  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (26 Sep 2007 to 31 Oct 2007)
• Susan Steel

  IRN SXS00405

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)

• Stan Gaskin Limited (no longer appointed)

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

No changes recorded yet.