Via Wealth Limited

• Principal Place of Business

  Via Wealth Ltd

  51 Ivy Road

  Norwich

  Norfolk

  NR5 8BF

  UNITED KINGDOM

  Phone

  +4401603763875

  Web

  https://www.viawealth.co.uk

• Complaints Contact

  Via Wealth Ltd

  51 Ivy Road

  Norwich

  Norfolk

  NR5 8BF

  UNITED KINGDOM

  Phone

  +4401603763875

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For 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 pension policies with a Guaranteed Annuity Rate.
  • · 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

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  • · 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, 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

• Credit Brokering

• 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.

• Ian David Stevenson

  IRN IDS01034

  • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
  • Responsible for Insurance Mediation (1 Oct 2007 to 31 Aug 2009)
  • CF1 Director (1 Oct 2007 to 31 Aug 2009)
  • CF21 Investment Adviser (1 Oct 2007 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Oct 2007 to 31 Aug 2009)
  • CF10 Compliance Oversight (1 Oct 2007 to 31 Aug 2009)
• Ian Philip Dilks

  IRN IPD00009

  • [FCA CF] Significant management (1 Jun 2020 to 31 Aug 2021)
  • [FCA CF] Functions requiring qualifications (1 Jun 2020 to 31 Aug 2021)
  • [FCA CF] Client dealing (1 Jun 2020 to 31 Aug 2021)
  • SMF3 Executive Director (9 Dec 2019 to 31 Aug 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Oct 2007 to 31 Oct 2007)
  • CF1 Director (1 Oct 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Oct 2007 to 31 Mar 2009)
• Neil Andrew Maguire

  IRN NAM01079

  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2020)
  • [FCA CF] Significant management (since 1 Jun 2020)
  • [FCA CF] Client dealing (since 1 Jun 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • Responsible for Insurance Mediation (4 Sep 2009 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (4 Sep 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (4 Sep 2009 to 8 Dec 2019)
  • CF1 Director (4 Sep 2009 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Oct 2007 to 31 Oct 2007)
• Philip Andrew MacAllan

  IRN PAM00052

  • 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] Functions requiring qualifications (since 1 Jun 2020)
  • [FCA CF] Client dealing (since 1 Jun 2020)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Oct 2007 to 31 Oct 2007)
• Simon John Day

  IRN SJD01196

  • 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] Functions requiring qualifications (since 1 Jun 2020)
  • [FCA CF] Client dealing (since 1 Jun 2020)
  • CF30 Customer (17 Nov 2011 to 8 Dec 2019)
• Simon Paul Hands

  IRN SPH01096

  • CF30 Customer (13 Sep 2017 to 7 Nov 2018)
• Stella Anne Fraser Rice

  IRN SAR00009

  • CF30 Customer (28 Feb 2008 to 24 Oct 2008)

No changes recorded yet.