Tier One Capital Wealth Management Limited

• Principal Place of Business

  16 Brenkley Way, Blezard Business Park

  Seaton Burn

  Newcastle upon Tyne

  Tyne and Wear

  NE13 6DS

  UNITED KINGDOM

  Phone

  +4401912170007

  Web

  https://www.tieronecapital.co.uk

• Complaints Contact

  16 Brenkley Way, Blezard Business Park

  Seaton Burn

  Newcastle upon Tyne

  Tyne and Wear

  NE13 6DS

  UNITED KINGDOM

  Phone

  +4401912170007

• 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 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 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

  Show 1 limitation Hide limitations

  • · 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 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 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

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt adjusting with no debt management activity

• Equity Release Setup

  For Customer, Home reversion plans

• 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.

• Basic Pension Advice

  For Professional, Retail (Investment), Stakeholder products

• Michael Carrick

  IRN MXC00171

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Dec 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Dec 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 24 Jul 2019)
  • CF10 Compliance Oversight (2 Jan 2013 to 24 Jul 2019)
  • CF11 Money Laundering Reporting (2 Jan 2013 to 24 Jul 2019)
  • CF30 Customer (2 Jan 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (2 Jan 2013 to 30 Sep 2018)
  • CF1 Director (2 Jan 2013 to 20 Aug 2019)
• Neil Marshall

  IRN NXM02112

  • 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 27 Jul 2023)
  • [FCA CF] Functions requiring qualifications (since 27 Jul 2023)
• Paul Stanley Blight

  IRN PSB00026

  • 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
  • 11. Pension transfer specialist
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 5 Aug 2019)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • SMF16 Compliance Oversight (9 Dec 2019 to 8 Jun 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Jun 2023)
  • CF10 Compliance Oversight (5 Aug 2019 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (5 Aug 2019 to 8 Dec 2019)
  • CF1 Director (2 Jan 2013 to 8 Dec 2019)
  • CF30 Customer (2 Jan 2013 to 8 Dec 2019)
• Robert Dixon

  IRN RXD09402

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Oct 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Oct 2021)
  • CF30 Customer (17 Dec 2018 to 8 Dec 2019)
• Scott Macalister

  IRN SXM02025

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Nov 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Nov 2021)
  • CF30 Customer (3 Jul 2017 to 8 Dec 2019)

• Steven Johnson Ltd (no longer appointed)

  FRN 594690 · Appointed 21 Jan 2013 · Until 31 Mar 2014

No changes recorded yet.