SME Wealth Management Limited

Date authorised
20 February 2025
Companies House
15659170
Last scraped
5 days ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Suite 1, 10 Princes Dock
    Princes Parade
    Liverpool Waters
    Liverpool
    L3 1BG
    UNITED KINGDOM
    Phone
    +441512942772
    Web
    https://www.smewealth.co.uk

  • Complaints Contact

    Suite 1, 10 Princes Dock
    Princes Parade
    Liverpool Waters
    Liverpool
    L3 1BG
    UNITED KINGDOM
    Phone
    +447875074581

What this firm is allowed to do

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

  • 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

    Show 2 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.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

  • 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

    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, Structured Deposits, 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.

  • 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
    • · 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.

  • Daniel Lewis Colman

    IRN DXC00587

    • 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 Feb 2025)
    • Responsible for Insurance Distribution (since 20 Feb 2025)
    • SMF16 Compliance Oversight (since 20 Feb 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 Feb 2025)
    • SMF3 Executive Director (since 20 Feb 2025)
    • [FCA CF] Client dealing (since 20 Feb 2025)
    • SMF29 Limited scope function (limited scope SMCR firms only) (20 Feb 2025 to 29 Sep 2025)
  • Ian Scott Paginton

    IRN ISP00001

    • 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)
    • SMF3 Executive Director (since 20 Feb 2025)
    • [FCA CF] Client dealing (since 20 Feb 2025)
    • [FCA CF] Functions requiring qualifications (since 20 Feb 2025)
  • Jonathan Murphy

    IRN JXM03979

    • 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 May 2025)
    • [FCA CF] Functions requiring qualifications (since 1 May 2025)

Recent activity

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

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