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

• Fatema Ali

  IRN FXA01655

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Mar 2020)
  • CF30 Customer (21 Nov 2019 to 8 Dec 2019)
• Fraser Tait

  IRN FXT01108

  • CF30 Customer (3 Aug 2016 to 11 Apr 2019)
• Garth Donnan

  IRN GXD81188

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 15 Feb 2023)
• Gary John Coe

  IRN GXC01488

  • CF30 Customer (8 Nov 2012 to 29 Mar 2019)
• Geoffrey John Hine

  IRN GJH01099

  • Responsible for Insurance Mediation (16 May 2005 to 29 Sep 2006)
  • CF13 Finance (16 May 2005 to 29 Sep 2006)
  • CF1 Director (16 May 2005 to 29 Sep 2006)
  • CF19 Significant Mgt (Financial Resources) (16 May 2005 to 29 Sep 2006)
• Giles Sinclair Garlick

  IRN GSG00008

  • CF30 Customer (12 Aug 2016 to 8 Feb 2017)
• Gillian McGuire

  IRN GXL01546

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Mar 2020)
  • CF30 Customer (18 Nov 2019 to 8 Dec 2019)
• Glen Macdonald Dickson

  IRN GMD00008

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Jul 2020)
• Graeme Bissett

  IRN GXB01657

  • CF2 Non Executive Director (11 Jan 2010 to 19 May 2011)
• Graham Beschizza

  IRN GXB01193

  • CF1 Director (4 Aug 2009 to 23 Sep 2011)
  • CF29 Significant management (4 Aug 2009 to 1 Dec 2011)
  • CF30 Customer (1 Nov 2007 to 1 Dec 2011)
  • CF27 Investment Management (16 May 2005 to 31 Oct 2007)

No changes recorded yet.