The Wealth Group Limited

• Principal Place of Business

  The Wealth Group Ltd

  15 Queens Road

  Evesham

  Worcestershire

  WR11 4JN

  UNITED KINGDOM

  Phone

  +4401386442597

  Web

  https://www.wealth-group.co.uk

• Complaints Contact

  15 Queens Road

  Evesham

  Worcestershire

  WR11 4JN

  UNITED KINGDOM

  Phone

  +441386442597

• 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

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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 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, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts

• Stockbroking

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, 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.

• 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, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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.

• Andrew Jonathan Neale

  IRN AJN01048

  • CF30 Customer (1 Nov 2007 to 19 Feb 2014)
  • CF24 Pension Transfer Specialist (30 Jun 2006 to 31 Oct 2007)
  • CF1 Director (30 Jun 2006 to 19 Feb 2014)
  • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
• David Anthony Brown

  IRN DAB01220

  • CF1 Director (30 Jun 2006 to 19 Feb 2009)
• David William Nicholds

  IRN DWN01021

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (AR) (since 16 Jan 2013)
  • CF10 Compliance Oversight (24 Jan 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (24 Jan 2014 to 8 Dec 2019)
  • CF1 Director (24 Sep 2009 to 8 Dec 2019)
• Elizabeth Needham

  IRN EXN01062

  • CF1 Director (AR) (since 14 Feb 2013)
• Huw Thompson

  IRN HXT01154

  • CF10 Compliance Oversight (29 Oct 2012 to 17 Jan 2014)
  • CF11 Money Laundering Reporting (29 Oct 2012 to 17 Jan 2014)
• Jeremy Clarke-Morris

  IRN JXC02585

  • CF1 Director (AR) (since 1 Mar 2013)
• Lee John Spooner

  IRN LXS00047

  • 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 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (since 10 May 2011)
• Nico George Kontou Goymer

  IRN NXK00011

  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF1 Director (AR) (since 14 Dec 2012)
  • CF30 Customer (since 1 Nov 2007)
  • Responsible for Insurance Mediation (10 Mar 2014 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (6 May 2009 to 29 Oct 2012)
  • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (30 Jun 2006 to 31 Oct 2007)
  • CF1 Director (30 Jun 2006 to 8 Dec 2019)
• Richard Babb

  IRN RXB00167

  • 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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (since 10 May 2011)
• Robert Ian Bailey

  IRN RIB00004

  • CF8 Apportionment and Oversight (30 Jun 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (30 Jun 2006 to 19 Feb 2009)
  • CF1 Director (30 Jun 2006 to 19 Feb 2009)

• Kendall Wadley Wealth Limited

  FRN 579272 · Appointed 11 Apr 2012

• TWG Financial Planning Limited (no longer appointed)

  FRN 501243 · Appointed 18 May 2009 · Until 31 Mar 2012

No changes recorded yet.