Stratton Wealth Management Limited

• Principal Place of Business

  Imperial Court

  2 Exchange Quay

  Manchester

  M5 3EB

  UNITED KINGDOM

  Phone

  +4408009708984

  Web

  https://www.strattonwm.co.uk

• Complaints Contact

  Imperial Court

  2 Exchange Quay

  Manchester

  M5 3EB

  UNITED KINGDOM

  Phone

  +4408009708984

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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 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.
  • · 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 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 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.

• 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 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 Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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 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.

• Dariush Philip Jalali

  IRN DPJ01042

  • 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)
  • Responsibility for MCD Intermediation (since 24 Jun 2022)
  • SMF3 Executive Director (since 19 Feb 2020)
  • Responsible for Insurance Distribution (since 19 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 12 Jan 2020)
  • [FCA CF] Client dealing (since 12 Jan 2020)
  • [FCA CF] Manager of certification employee (since 12 Jan 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (19 Feb 2020 to 14 Apr 2021)
  • SMF16 Compliance Oversight (19 Feb 2020 to 14 Apr 2021)
• Geoffrey Keith Fillery

  IRN GKF00002

  • 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 17 Sep 2024)
  • [FCA CF] Functions requiring qualifications (since 17 Sep 2024)
• Graham Peters

  IRN GXP00017

  • 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 9 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 9 Oct 2024)
• Holly Adele O'Hara

  IRN HXO00077

  • SMF3 Executive Director (since 5 Dec 2024)
• Jeremy Brian Over

  IRN JBO01013

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 4 Jul 2024)
  • [FCA CF] Client dealing (since 4 Jul 2024)
• John Cyril Arthur Blackburn

  IRN JXB13934

  • 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)
  • SMF16 Compliance Oversight (since 26 Nov 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 26 Nov 2020)
  • SMF3 Executive Director (since 26 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 12 Jan 2020)
  • [FCA CF] Client dealing (since 12 Jan 2020)
• Mark John Taylor

  IRN MJT01080

  • [FCA CF] Functions requiring qualifications (12 Mar 2021 to 1 Jan 2026)
  • [FCA CF] Client dealing (12 Mar 2021 to 1 Jan 2026)
• Matthew Patrick Jones

  IRN MXJ00304

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 10 Jun 2022)
  • [FCA CF] Functions requiring qualifications (since 10 Jun 2022)
• Ryan Christopher Henry Parkinson

  IRN RXP00270

  • [FCA CF] Client dealing (1 Mar 2021 to 31 Jul 2022)
• Stephen John Opie

  IRN SJO01110

  • Responsibility for MCD Intermediation (22 Jan 2021 to 24 Jun 2022)
  • [FCA CF] Functions requiring qualifications (12 Jan 2020 to 10 Jun 2022)
  • [FCA CF] Client dealing (12 Jan 2020 to 10 Jun 2022)

No changes recorded yet.