Thomson Wealth Management Ltd

Date authorised
11 April 2016
Companies House
SC455814
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Thomson Wealth Management Ltd
    1/2 The Connal Building
    34 West George Street
    Glasgow
    Glasgow City
    G2 1DA
    UNITED KINGDOM
    Phone
    +447734431456
    Web
    https://www.thomsonwealth.co.uk

  • Complaints Contact

    Thomson Wealth Management Ltd
    1/2 The Connal Building
    34 West George Street
    Glasgow
    Glasgow City
    G2 1DA
    UNITED KINGDOM
    Phone
    +447734431456

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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
    • · 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, Spread Bet, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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, Spread Bet, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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 End Date

  • Buy-to-Let Status

  • Debt Advice

    Show 1 limitation
    • · 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, Membership of a Lloyd's syndicate, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Structured Deposits, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Keith Andrew Thomson

    IRN KAT00015

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 11. Pension transfer specialist
    • 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] Functions requiring qualifications (since 7 Dec 2020)
    • [FCA CF] Client dealing (since 7 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)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (1 May 2018 to 21 Mar 2019)
    • Responsible for Insurance Mediation (11 Apr 2016 to 30 Sep 2018)
    • CF30 Customer (11 Apr 2016 to 8 Dec 2019)
    • CF1 Director (11 Apr 2016 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Apr 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Apr 2016 to 8 Dec 2019)
  • Paul McKay Moore

    IRN PMM01108

    • 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
    • 11. Pension transfer specialist
    • [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
    • [FCA CF] Client dealing (since 7 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (4 Apr 2017 to 8 Dec 2019)
    • CF30 Customer (4 Apr 2017 to 8 Dec 2019)
  • Sonya Peace

    IRN SXP20775

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (31 Oct 2019 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.