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

  Show 1 limitation Hide limitations

  • · 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

• Clive Stuart Brown

  IRN CSB01065

  • CF1 Director (1 Feb 2006 to 31 Jul 2009)
  • CF8 Apportionment and Oversight (1 Feb 2006 to 31 Oct 2007)
• Colin Brennan

  IRN CXB19037

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Mar 2020)
  • CF30 Customer (23 Aug 2019 to 8 Dec 2019)
• Colin Haywood

  IRN CJH01231

  • CF30 Customer (1 Nov 2007 to 12 May 2011)
  • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
• Craig William Furner

  IRN CWF00014

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 16 Dec 2019)
• Cyndy Louise Toole

  IRN CLB01137

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 13 Feb 2025)
  • [FCA CF] Functions requiring qualifications (1 Dec 2021 to 10 Jan 2024)
  • CF30 Customer (6 Jun 2017 to 8 Dec 2019)
• Daniel Eric Spence

  IRN DXS00589

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 11. Pension transfer specialist
  • [FCA CF] Functions requiring qualifications (since 11 Feb 2022)
• Daniel James Kilgour Miller

  IRN DXM03026

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (14 Sep 2018 to 8 Dec 2019)
• Daniel Tonge

  IRN DXT01357

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (20 Mar 2013 to 8 Dec 2019)
• Daniel William Bird Bartling

  IRN DWB01153

  • [FCA CF] Functions requiring qualifications (17 Jan 2020 to 11 Aug 2020)
• Danielle Elizabeth Bearfield

  IRN DEB33612

  • [FCA CF] Functions requiring qualifications (23 May 2022 to 29 Mar 2023)

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