SOLUTIONS WEALTH MANAGEMENT LTD

Date authorised
1 April 2013
Companies House
06678128
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    9 Halegrove Court
    Cygnet Drive
    Stockton-on-Tees
    Durham
    TS18 3DB
    UNITED KINGDOM
    Phone
    +441642927685
    Web
    https://www.swmltd.co.uk

  • Complaints Contact

    9 Halegrove Court
    Cygnet Drive
    Stockton-on-Tees
    Durham
    TS18 3DB
    UNITED KINGDOM
    Phone
    +441642927685

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)

  • 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
    • · 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

    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.

  • Christopher John Russell Ball

    IRN CJB00061

    • CF30 Customer (1 Jul 2013 to 3 Oct 2013)
  • David John Walker

    IRN DJW00014

    • [FCA CF] Client dealing (9 Dec 2019 to 26 Aug 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Aug 2021)
    • CF30 Customer (1 Nov 2012 to 8 Dec 2019)
  • Gary Peter Richard King

    IRN GPK00005

    • CF30 Customer (22 Jul 2013 to 31 Aug 2015)
  • Gavin Barry Collinson

    IRN GBC00006

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (1 Nov 2012 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Nov 2012 to 30 Sep 2018)
    • CF1 Director (1 Nov 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Nov 2012 to 8 Dec 2019)
  • Paul Antony Tyreman

    IRN PAT00026

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2012 to 8 Dec 2019)
  • Peter Coates

    IRN PXC00195

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2025)
    • CF30 Customer (1 Nov 2012 to 8 Dec 2019)
  • Stephanie Coates

    IRN SXC00279

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 22 Feb 2021)
    • [FCA CF] Client dealing (since 22 Feb 2021)
  • Victoria Collinson

    IRN VXC12150

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (24 May 2019 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

  • Solutions Northern Ltd (no longer appointed)

    FRN 474319 · Appointed 27 Aug 2013 · Until 23 Jul 2015

  • Pro Tactics Ltd (no longer appointed)

    FRN 606380 · Appointed 23 Aug 2013 · Until 30 Jun 2021

  • Paul Berwick (no longer appointed)

    FRN 605138 · Appointed 31 Jul 2013 · Until 30 Jun 2021

  • Tom Suffell (no longer appointed)

    FRN 604714 · Appointed 22 Jul 2013 · Until 7 Jul 2021

  • Stephen Lindo (no longer appointed)

    FRN 604639 · Appointed 18 Jul 2013 · Until 30 Jun 2021

Recent activity

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

No changes recorded yet.