SMB WEALTH MANAGEMENT LIMITED

Date authorised
1 April 2013
Companies House
06449259
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    11 Arun Way
    Bognor Regis
    West Sussex
    PO21 4HF
    UNITED KINGDOM
    Phone
    +4407711952117
    Web
    https://www.smbwealth.co.uk

  • Complaints Contact

    11 Arun Way
    Bognor Regis
    West Sussex
    PO21 4HF
    UNITED KINGDOM
    Phone
    +447711952117

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

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

  • 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, Unit, Warrant

    Show 1 limitation
    • · 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
    • · 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, Unit, Warrant

    Show 1 limitation
    • · 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.

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • 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, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Martin Smith

    IRN MXS01330

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF3 Chief Executive (5 Dec 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (5 Dec 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (5 Dec 2016 to 8 Dec 2019)
    • CF1 Director (22 Feb 2008 to 8 Dec 2019)
    • CF30 Customer (22 Feb 2008 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (22 Feb 2008 to 31 Mar 2009)
    • Responsible for Insurance Mediation (22 Feb 2008 to 30 Sep 2018)
  • Michael Edward Burn

    IRN MXB01756

    • CF30 Customer (22 Feb 2008 to 14 Dec 2012)
    • CF1 Director (22 Feb 2008 to 31 Aug 2014)
  • Shirley Irene Burn

    IRN SIB01017

    • CF30 Customer (22 Feb 2008 to 31 Aug 2014)
    • CF1 Director (22 Feb 2008 to 31 Aug 2014)
    • CF10 Compliance Oversight (22 Feb 2008 to 31 Aug 2014)
    • CF11 Money Laundering Reporting (22 Feb 2008 to 31 Aug 2014)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.