Wealth & Prosperity Ltd

• Principal Place of Business

  Unit 2

  Apex Business Village

  Annitsford

  Cramlington

  Northumberland

  NE23 7BF

  UNITED KINGDOM

  Phone

  +441912503656

  Web

  http://thewealthandprosperitygroup.co.uk

• Complaints Contact

  Unit 2

  Apex Business Village

  Annitsford

  Cramlington

  Northumberland

  NE23 7BF

  UNITED KINGDOM

  Phone

  +441912504660

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

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

• Pension Transfer Advice

  For Professional, 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: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• 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

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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.

• 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.

• 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

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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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Collection

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  • · This permission is limited to debt counselling with no debt management activity

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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

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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.

• Andrew Charles Cox

  IRN ACC01094

  • Responsible for Insurance Distribution (1 Oct 2018 to 28 Aug 2019)
  • CF10 Compliance Oversight (28 Sep 2015 to 28 Aug 2019)
  • CF11 Money Laundering Reporting (28 Sep 2015 to 28 Aug 2019)
  • CF30 Customer (28 Sep 2015 to 28 Aug 2019)
  • Responsible for Insurance Mediation (28 Sep 2015 to 30 Sep 2018)
  • CF1 Director (28 Sep 2015 to 28 Aug 2019)
• David Anthony Gunning

  IRN DMG00022

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • Appointed representative dealing with clients for which they require qualification (since 22 Oct 2020)
  • [FCA CF] Client dealing (since 22 Oct 2020)
  • [FCA CF] Functions requiring qualifications (since 22 Oct 2020)
  • SMF3 Executive Director (since 7 Feb 2020)
  • SMF16 Compliance Oversight (since 7 Feb 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 Feb 2020)
  • Responsibility for MCD Intermediation (since 7 Feb 2020)
  • Responsible for Insurance Distribution (since 7 Feb 2020)
  • CF30 Customer (since 26 Jul 2019)
  • [FCA CF] Significant management (22 Oct 2020 to 30 Mar 2021)
  • [FCA CF] Manager of certification employee (22 Oct 2020 to 30 Mar 2021)
  • [FCA CF] CASS oversight function (22 Oct 2020 to 30 Mar 2021)
  • [PRA CF] Key function holder (22 Oct 2020 to 30 Mar 2021)
• David Anthony Howe

  IRN DXH00133

  • 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
  • Appointed representative dealing with clients for which they require qualification (since 22 Oct 2020)
  • [FCA CF] Functions requiring qualifications (since 22 Oct 2020)
  • [FCA CF] Client dealing (since 22 Oct 2020)
  • SMF3 Executive Director (since 7 Feb 2020)
  • CF30 Customer (since 30 Jul 2019)
  • CF1 Director (AR) (since 30 Jul 2019)
  • [FCA CF] Significant management (22 Oct 2020 to 30 Mar 2021)
  • [PRA CF] Key function holder (22 Oct 2020 to 30 Mar 2021)
• GEOFFREY DENTON

  IRN GXD00054

  • SMF3 Executive Director (since 16 Feb 2020)
  • CF1 Director (AR) (since 26 Jul 2019)
• Graham Robert MacAskill

  IRN GRM01097

  • CF1 Director (27 Mar 2019 to 10 Oct 2019)
  • CF10 Compliance Oversight (27 Mar 2019 to 25 Jul 2019)
  • CF30 Customer (27 Mar 2019 to 25 Jul 2019)
  • Responsibility for MCD Intermediation (27 Mar 2019 to 10 Oct 2019)
• Joseph William Miller

  IRN JXM00153

  • [FCA CF] Client dealing (22 Oct 2020 to 30 Jun 2021)
• Mark Sebastian Benson

  IRN MSB01147

  • 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
  • CF1 Director (AR) (since 19 May 2021)
  • Appointed representative dealing with clients for which they require qualification (since 22 Oct 2020)
  • CF30 Customer (since 28 Jul 2017)
  • [FCA CF] Client dealing (22 Oct 2020 to 30 Mar 2021)
  • [FCA CF] Functions requiring qualifications (22 Oct 2020 to 30 Mar 2021)
• Seamus Joseph O'Carroll

  IRN SJO00009

  • CF30 Customer (11 Dec 2015 to 8 Dec 2019)

• Denton Woodhouse Limited

  FRN 201800 · Appointed 25 Jun 2019

• BENSON FINANCIAL MANAGEMENT LIMITED

  FRN 765005 · Appointed 12 Jul 2017

• BENSON FINANCIAL MANAGEMENT LIMITED (no longer appointed)

  FRN 765005 · Appointed 21 Nov 2016 · Until 27 Apr 2017

• Hartwall Limited (no longer appointed)

  FRN 763549 · Appointed 2 Nov 2016 · Until 28 Dec 2017

No changes recorded yet.