Andrea Irving-Morse Associates Limited

• Principal Place of Business

  4 Church View

  Sedgefield

  Stockton-on-Tees

  Durham

  TS21 2AY

  UNITED KINGDOM

  Phone

  +441740620880

• Complaints Contact

  4 Church View

  Sedgefield

  Stockton-on-Tees

  Cleveland

  TS21 2AY

  UNITED KINGDOM

  Phone

  +4401740620880

• 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), Personal pension scheme, Stakeholder pension scheme

  Show 1 limitation Hide limitations

  • · 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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

  Show 1 limitation Hide limitations

  • · 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

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

  Show 1 limitation Hide limitations

  • · 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

• Equity Release Setup

  For Customer, Home reversion plans

• 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

  Show 1 limitation Hide limitations

  • · 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.

• Andrea Irving-Morse

  IRN AXI00003

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 15 Dec 2016)
  • CF10 Compliance Oversight (15 Dec 2016 to 8 Dec 2019)
  • CF1 Director (15 Dec 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (15 Dec 2016 to 8 Dec 2019)
  • CF30 Customer (15 Dec 2016 to 8 Dec 2019)
  • Responsible for Insurance Mediation (15 Dec 2016 to 30 Sep 2018)
• Caroline McCulloch

  IRN CXM28998

  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 15 Jul 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jul 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Jul 2021)
• Derek Peter CARROLL

  IRN DXC09220

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 29 Nov 2021)
  • [FCA CF] Client dealing (since 29 Nov 2021)
• Mark Robert Johnson

  IRN MRJ00014

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • [FCA CF] Functions requiring qualifications (since 30 Jul 2021)
  • [FCA CF] Client dealing (since 30 Jul 2021)
• Rebecca Johnson

  IRN RXJ00139

  • [FCA CF] Client dealing (since 1 May 2021)
  • [FCA CF] Functions requiring qualifications (1 May 2021 to 1 Mar 2025)

• Caroline McCulloch (no longer appointed)

  FRN 621120 · Appointed 15 Dec 2016 · Until 15 Jul 2021

No changes recorded yet.