Spectrum Wealth Management Ltd

• Principal Place of Business

  Suite 1

  Davidson House

  Glenavy Road Business Park

  20 Glenavy Road

  Moira

  Armagh

  BT67 0LT

  NORTHERN IRELAND

  Phone

  +4402838897012

  Web

  https://www.spectrumwm.co.uk

• Complaints Contact

  Suite 1

  Davidson House

  Glenavy Road Business Park

  20 Glenavy Road

  Moira

  Armagh

  BT67 0LT

  NORTHERN IRELAND

  Phone

  +4402838897012

• 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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  • · 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

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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

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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

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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.

• Elaine Scott

  IRN EXS00384

  • 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 22 Aug 2024)
  • [FCA CF] Functions requiring qualifications (since 22 Aug 2024)
• Gordon James Myles

  IRN GXM00415

  • [FCA CF] Client dealing (14 Dec 2023 to 7 Mar 2024)
  • CF30 Customer (15 Jun 2022 to 7 Mar 2024)
  • [FCA CF] Functions requiring qualifications (8 Feb 2022 to 7 Mar 2024)
• Jonathan Henry

  IRN JXH16033

  • CF30 Customer (17 Jun 2019 to 8 Dec 2019)
• Neil James Forsythe

  IRN NJF01059

  • 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)
  • CF30 Customer (since 14 Dec 2020)
  • CF1 Director (AR) (since 14 Dec 2020)
  • 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)
  • CF30 Customer (3 Apr 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (3 Apr 2017 to 8 Dec 2019)
  • Responsibility for MCD Intermediation (3 Apr 2017 to 2 May 2018)
  • CF1 Director (3 Apr 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (3 Apr 2017 to 8 Dec 2019)
  • Responsible for Insurance Mediation (3 Apr 2017 to 30 Sep 2018)
• Robert James John Young

  IRN RJY01015

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 14 Dec 2023)
  • CF30 Customer (since 27 Mar 2023)
  • [FCA CF] Functions requiring qualifications (since 14 Mar 2023)
• Robert William Hall

  IRN RWH00011

  • 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
  • CF30 Customer (since 14 Dec 2020)
  • CF1 Director (AR) (since 14 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (16 Nov 2018 to 8 Dec 2019)
  • CF1 Director (16 Nov 2018 to 8 Dec 2019)

• Spectrum Advice Network Ltd

  FRN 938972 · Appointed 20 Nov 2020

No changes recorded yet.