SFIA Wealth Management Limited

• Principal Place of Business

  27 Moorbridge Road

  Maidenhead

  Berkshire

  SL6 8LT

  UNITED KINGDOM

  Phone

  +4401628566777

  Web

  https://amberriver.com/sfia

• Complaints Contact

  27 Moorbridge Road

  Maidenhead

  Berkshire

  SL6 8LT

  UNITED KINGDOM

  Phone

  +4401628566777

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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.

• 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 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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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  • · 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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.

• Kathleen Estelle Theron

  IRN KXT17127

  • [FCA CF] Manager of certification employee (since 19 Dec 2019)
  • Responsible for Insurance Distribution (27 Oct 2023 to 4 Feb 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (15 Feb 2023 to 4 Feb 2026)
  • SMF16 Compliance Oversight (15 Feb 2023 to 4 Feb 2026)
• Keith William Watson

  IRN KWW00003

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2022)
• Kenneth James McIntosh

  IRN KJM01114

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Apr 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2022)
• Liam Antony Paul Halford

  IRN LXH00304

  • 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 1 Oct 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2021)
• Lisa Susan Fisher

  IRN LXF00203

  • SMF16 Compliance Oversight (since 15 Apr 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Apr 2026)
• Mandy Patricia Caunt

  IRN MXC00129

  • Responsible for Insurance Distribution (1 Oct 2018 to 17 Sep 2019)
  • CF11 Money Laundering Reporting (1 Aug 2014 to 17 Sep 2019)
  • CF10 Compliance Oversight (1 Aug 2014 to 17 Sep 2019)
  • CF1 Director (1 Aug 2014 to 17 Sep 2019)
  • CF30 Customer (1 Aug 2014 to 17 Sep 2019)
  • Responsible for Insurance Mediation (1 Aug 2014 to 30 Sep 2018)
• Marjorie Anne Russell

  IRN MAR00047

  • 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 15 Dec 2023)
  • [FCA CF] Functions requiring qualifications (since 15 Dec 2023)
• Mark Codd

  IRN MXC00594

  • [FCA CF] Client dealing (13 Sep 2021 to 1 Feb 2023)
  • [FCA CF] Functions requiring qualifications (13 Sep 2021 to 1 Feb 2023)
• Mark Gerard Menton

  IRN MGM00022

  • 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 2 Mar 2026)
  • [FCA CF] Functions requiring qualifications (since 2 Mar 2026)
• Martin Peter Watkins

  IRN MXW00191

  • 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 4 May 2021)
  • [FCA CF] Client dealing (since 4 May 2021)

No changes recorded yet.