Stewart Wealth Management Ltd

• Principal Place of Business

  Pearson Wealth Management Ltd

  Wherstead Park

  The Street

  Wherstead

  Ipswich

  Suffolk

  IP9 2BJ

  UNITED KINGDOM

  Phone

  +4401473784430

  Web

  https://www.swm-ltd.co.uk

• Complaints Contact

  Pearson Wealth Management Ltd

  Wherstead Park

  The Street

  Wherstead

  Ipswich

  Suffolk

  IP9 2BJ

  UNITED KINGDOM

  Phone

  +4401473784430

• 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 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.

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For 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 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 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• Arranges Investments

  For 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 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 Retail (Investment), Regulated mortgage contract

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For 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 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.

• Adrian John Keith

  IRN AJK01132

  • 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
  • Responsibility for MCD Intermediation (since 19 Jun 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (since 13 Oct 2018)
  • CF10 Compliance Oversight (1 Apr 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Apr 2019 to 8 Dec 2019)
  • CF1 Director (22 Jan 2019 to 8 Dec 2019)
• Brian James Doherty

  IRN BJD00004

  • CF2 Non Executive Director (1 Oct 2015 to 4 Feb 2019)
• Clive Stewart Frampton

  IRN CSF00008

  • Responsible for Insurance Distribution (1 Oct 2018 to 4 Feb 2019)
  • CF10 Compliance Oversight (1 Oct 2010 to 7 Feb 2019)
  • CF30 Customer (1 Oct 2010 to 4 Feb 2019)
  • Responsible for Insurance Mediation (1 Oct 2010 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Oct 2010 to 7 Feb 2019)
  • CF1 Director (1 Oct 2010 to 4 Feb 2019)
• Gavin Laurence Dixon

  IRN GLD00011

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Jul 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jul 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Jul 2023)
  • CF30 Customer (16 Apr 2019 to 1 Jul 2023)
• Nico Justin Williams

  IRN NXW12843

  • 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)
  • Appointed representative dealing with clients for which they require qualification (since 8 Aug 2022)
  • [FCA CF] Functions requiring qualifications (since 8 Aug 2022)
  • [FCA CF] Client dealing (since 8 Aug 2022)
• Paul Radley Drew

  IRN PRD00010

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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 23 Jun 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
• Philip Edward Burrows

  IRN PEB00012

  • 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
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (13 Nov 2018 to 1 Jul 2022)
• Susan Kathleen Hodge

  IRN SKA00007

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (since 12 Nov 2018)
• Suzanne Pyne

  IRN SXP01461

  • 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
  • CF1 Director (AR) (since 3 Nov 2025)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (since 13 Oct 2018)
  • CF1 Director (22 Jan 2019 to 8 Dec 2019)
• Terence Kenneth Jones

  IRN TKJ00001

  • CF30 Customer (13 Nov 2018 to 10 Jun 2022)

• Pearson Wealth Management Ltd

  FRN 825434 · Appointed 8 Nov 2018

• Montgomery Financial Consultants Ltd (no longer appointed)

  FRN 840357 · Appointed 16 Apr 2019 · Until 8 May 2024

No changes recorded yet.