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

• Tazi Lorraine Smith

  IRN TLS01017

  • CF30 Customer (8 Nov 2012 to 30 Sep 2013)
• Thomas Bailey

  IRN TWB00004

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (5 Sep 2012 to 8 Dec 2019)
• Thomas Cozzi

  IRN TXC27610

  • [FCA CF] Functions requiring qualifications (26 Jul 2022 to 18 Apr 2025)
• Thomas David Bates

  IRN TXB01249

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 May 2020)
  • CF30 Customer (2 Jul 2012 to 8 Dec 2019)
• Thomas Spencer Pothecary

  IRN TXP00244

  • [FCA CF] Client dealing (24 Jan 2023 to 30 Sep 2025)
• Thomas William Ham

  IRN TWH01041

  • CF30 Customer (7 Jul 2014 to 29 May 2015)
• Timothy James Robinson

  IRN TJR01138

  • [FCA CF] Functions requiring qualifications (24 Jul 2023 to 28 Mar 2024)
• Timothy Richard Rory Stannard

  IRN TRS01070

  • [FCA CF] Functions requiring qualifications (17 Jan 2020 to 27 Mar 2020)
• Tom Fergus Cassidy

  IRN TFC01019

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (30 Jun 2011 to 1 Sep 2011)
• Tracey Anne Bromley

  IRN TAB00036

  • CF30 Customer (22 Mar 2017 to 8 Dec 2017)
  • CF21 Investment Adviser (1 Dec 2005 to 31 Oct 2007)

No changes recorded yet.