Wealth At Work Limited

• Principal Place of Business

  Third Floor

  5 St. Paul's Square

  Liverpool

  L3 9SJ

  UNITED KINGDOM

  Phone

  +441512553400

  Web

  https://www.wealthatwork.co.uk

• Complaints Contact

  Third Floor

  5 St. Paul's Square

  Liverpool

  L3 9SJ

  UNITED KINGDOM

  Phone

  +448000283200

• P2P Lending Advice

  For Commercial, 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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  • · 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, 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, 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, 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, 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.

• Arranges Asset Safekeeping

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trade Settlement Routing

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Credit Brokering

• Stockbroking

  For Commercial, 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, 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.

• Trades With You Directly

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

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  • · In respect of the firm's Personal pension scheme business, the firm is limited to carrying on this activity in the rights under the personal pension scheme(s) that it operates
  • · The above activity is limited either to acting as an operator of a collective investment scheme, establishing, operating or winding up a personal pension scheme or a stakeholder pension scheme, or to carrying out trustee activities
  • · Unable to: ( i ) hold financial instruments for own account unless it meets the ' matched principal exemption conditions as defined in the FSA's Glossary of defined expressions used in the FSA Handbook and (ii) underwrite MiFID financial instruments and/or place MiFID financial instruments on a firm commitment basis.

• Runs Personal Pensions

  For Professional, Retail (Investment), Personal pension scheme

• Investment Setup

  For Commercial, 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, 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.

• Manages Your Portfolio

  For Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Electronic Trade Settlement

  For Retail (Investment), Certificates representing certain security, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

• Michael Chambers

  IRN MXC03440

  • [FCA CF] Functions requiring qualifications (25 Aug 2023 to 10 Sep 2024)
• Michael Ian Best

  IRN MIB00003

  • CF30 Customer (21 Dec 2016 to 28 Mar 2017)
• Michael Joseph Gerard Summers

  IRN MXS00552

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 7 Dec 2023)
• Michael Simon

  IRN MXS04659

  • [FCA CF] Functions requiring qualifications (20 Nov 2023 to 18 Nov 2024)
• Narendra Katoch

  IRN NXK01203

  • CF30 Customer (3 Mar 2017 to 6 Jun 2018)
• Nathan Dudley Holley

  IRN NDH00020

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (28 May 2012 to 8 Dec 2019)
• Neil De'Antiquis-Roberts

  IRN NXR00041

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Dec 2017 to 8 Dec 2019)
• Neil Steven Mitchell

  IRN NSM00001

  • CF30 Customer (1 Nov 2007 to 13 Aug 2010)
  • CF21 Investment Adviser (27 Jul 2007 to 31 Oct 2007)
• Niamh Elizabeth Bains

  IRN NXM21041

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Mar 2024)
  • [FCA CF] Functions requiring qualifications (2 Nov 2021 to 24 Jul 2023)
• Nicholas John Godwin

  IRN NJG00019

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Jul 2024)
  • CF30 Customer (12 Mar 2014 to 8 Dec 2019)

No changes recorded yet.