Seven Street Wealth Ltd

• Principal Place of Business

  16 Alva Street

  -

  Edinburgh

  Edinburgh, City Of

  EH2 4QG

  UNITED KINGDOM

  Phone

  +441313708000

  Web

  https://www.7sw.co.uk

• Complaints Contact

  16 Alva Street

  -

  Edinburgh

  Edinburgh, City Of

  EH2 4QG

  UNITED KINGDOM

  Phone

  +441313708000

• P2P Lending Advice

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

• 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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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · 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

  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.

• Kirsty Louise Lister

  IRN KLL01028

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Aug 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Aug 2024)
  • CF30 Customer (27 Mar 2019 to 8 Dec 2019)
• Laura Marshall

  IRN LXJ01060

  • CF21 Investment Adviser (18 Feb 2005 to 1 Sep 2006)
• Liane Cathrene Cox

  IRN LCC01048

  • 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] Functions requiring qualifications (since 20 May 2024)
  • [FCA CF] Client dealing (since 20 May 2024)
• Lorna Elaine Shields

  IRN LED01011

  • CF30 Customer (1 Nov 2007 to 15 Dec 2010)
  • CF21 Investment Adviser (12 Jun 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Nov 2006 to 31 Oct 2007)
• Mark David Galloway

  IRN MDG01117

  • CF30 Customer (6 Jun 2016 to 12 Dec 2016)
• Mark Richard Dobson

  IRN MRD00004

  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (22 Oct 2012 to 8 Dec 2019)
  • CF30 Customer (20 Jun 2011 to 8 Dec 2019)
• Martin Fraser Sinclair

  IRN MFS01040

  • CF1 Director (1 Jun 2002 to 30 Sep 2005)
• Neil Norman

  IRN NXN01343

  • SMF3 Executive Director (9 Dec 2019 to 15 Jan 2020)
  • CF1 Director (21 Jun 2017 to 8 Dec 2019)
• Neil Tough

  IRN NXT00010

  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 May 2004)
  • CF21 Investment Adviser (1 Dec 2001 to 1 May 2004)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 May 2004)
  • CF10 Compliance Oversight (1 Dec 2001 to 30 Apr 2004)
  • CF1 Director (1 Dec 2001 to 30 Apr 2004)
• Robert James Bell

  IRN RJB01326

  • Responsible for Insurance Mediation (26 Sep 2008 to 15 Nov 2010)
  • CF10 Compliance Oversight (26 Sep 2008 to 29 Nov 2010)
  • CF30 Customer (1 Nov 2007 to 29 Nov 2010)
  • CF11 Money Laundering Reporting (1 May 2007 to 29 Nov 2010)
  • CF8 Apportionment and Oversight (1 May 2007 to 31 Mar 2009)
  • CF1 Director (1 May 2007 to 29 Nov 2010)
  • CF3 Chief Executive (18 Dec 2006 to 29 Nov 2010)
  • CF24 Pension Transfer Specialist (26 Oct 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (18 Oct 2005 to 31 Oct 2007)

• Hamilton Financial (Scotland) Limited (no longer appointed)

  FRN 446489 · Appointed 30 Dec 2005 · Until 1 Aug 2008

• Finlayson Stuart (no longer appointed)

  FRN 441342 · Appointed 1 Nov 2005 · Until 5 Oct 2016

No changes recorded yet.