TFAS Wealth Ltd

• Principal Place of Business

  119-121 The Headrow

  2nd Floor

  St Andrew House

  Leeds

  West Yorkshire

  LS1 5JW

  UNITED KINGDOM

  Phone

  +4401134682693

  Web

  https://www.tfaswealth.com

• Complaints Contact

  119-121 The Headrow

  2nd Floor

  St Andrew House

  Leeds

  West Yorkshire

  LS1 5JW

  UNITED KINGDOM

  Phone

  +441134682693

• 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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  • · 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

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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.

• 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

  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.

• Buddy Keville

  IRN BXK00158

  • Director of firm who is not a certification employee or a SMF manager (since 3 Jan 2023)
• Christopher Redman

  IRN CXR00056

  • [FCA CF] Client dealing (since 1 May 2023)
  • CF30 Customer (3 Jan 2023 to 28 Feb 2025)
• Devin Ross

  IRN DXR00583

  • SMF3 Executive Director (since 6 Jun 2025)
• Jack Christopher Davidson

  IRN JXD00917

  • [FCA CF] Functions requiring qualifications (19 Jul 2024 to 9 Feb 2026)
  • [FCA CF] Client dealing (19 Jul 2024 to 9 Feb 2026)
• James Michael Poka

  IRN JXP01083

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 28 Feb 2025)
  • [FCA CF] Manager of certification employee (since 28 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 28 Feb 2025)
• Jeffrey Frederick Lange

  IRN JFL01065

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF1 Chief Executive (since 12 Jan 2024)
  • [FCA CF] Functions requiring qualifications (since 3 Jan 2024)
  • [FCA CF] Client dealing (since 3 Feb 2023)
  • SMF3 Executive Director (3 Jan 2023 to 16 Jan 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (3 Jan 2023 to 1 Jun 2023)
  • SMF16 Compliance Oversight (3 Jan 2023 to 1 Jun 2023)
  • Responsible for Insurance Distribution (3 Jan 2023 to 1 Jun 2023)
• Jonathan Patrick Robert Gains

  IRN JPG00040

  • Director of firm who is not a certification employee or a SMF manager (since 3 Jan 2023)
• Jonathan Warren

  IRN JXW01418

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 10 Oct 2025)
  • [FCA CF] Client dealing (since 10 Oct 2025)
• Joshua Gardner

  IRN JXG00395

  • CF30 Customer (5 Dec 2023 to 16 Jan 2024)
  • [FCA CF] Client dealing (20 Nov 2023 to 8 Jan 2024)
• Karina Jane Bowden

  IRN KXB02154

  • SMF3 Executive Director (31 May 2023 to 1 Aug 2025)
  • Responsible for Insurance Distribution (31 May 2023 to 11 Jun 2025)
  • SMF16 Compliance Oversight (31 May 2023 to 11 Jun 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (31 May 2023 to 11 Jun 2025)

• The Financial Advice Service Ltd (no longer appointed)

  FRN 682428 · Appointed 3 Jan 2023 · Until 28 Feb 2025

No changes recorded yet.