BAKER DAVIES LTD

• Principal Place of Business

  Baker Davies Ltd

  Unit 5

  Acorn Business Park

  Ling Road

  Poole

  Bournemouth

  BH12 4NZ

  UNITED KINGDOM

  Phone

  +4401202716455

  Web

  https://www.bakerdavies.com

• Complaints Contact

  Baker Davies Ltd

  Unit 5

  Acorn Business Park

  Ling Road

  Poole

  Bournemouth

  BH12 4NZ

  UNITED KINGDOM

  Phone

  +441202716455

• 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 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, 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

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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

  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

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding the administration of debt management plans In this limitation debt management plans are 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

  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.

• Alistair John Ellen

  IRN AJE01083

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (since 1 Nov 2007)
  • CF1 Director (AR) (since 5 Sep 2005)
  • CF21 Investment Adviser (29 Jul 2002 to 31 Oct 2007)
• Amanda Cook

  IRN ALC01061

  • CF30 Customer (12 Nov 2010 to 31 Dec 2014)
• Andrew Simon Strickland

  IRN ASS01130

  • 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
  • CF30 Customer (since 13 Dec 2024)
  • Appointed representative dealing with clients for which they require qualification (since 13 Nov 2024)
  • [FCA CF] Client dealing (since 13 Nov 2024)
• Anthony James Davies

  IRN AJD00037

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 Jul 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 15 May 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 May 2024)
  • SMF3 Executive Director (9 Dec 2019 to 15 May 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 24 Jul 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 24 Jul 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 15 May 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Emma Kate Duncan

  IRN EKD00001

  • 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 12 Nov 2024)
  • [FCA CF] Client dealing (since 12 Nov 2024)
  • CF30 Customer (since 18 Sep 2024)
  • CF1 Director (AR) (since 18 Sep 2024)
• Heather Emma Dianne McMahon

  IRN HEP01016

  • 9A. Advising on P2P agreements
  • 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
  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (8 Jun 2018 to 8 Dec 2019)
• Ian Mark Bentley

  IRN IMB01045

  • 9A. Advising on P2P agreements
  • 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] Client dealing (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • CF30 Customer (since 1 Nov 2007)
  • CF1 Director (AR) (since 1 Sep 2005)
  • CF21 Investment Adviser (26 Nov 2003 to 31 Oct 2007)
• Jason Erol Ogelman

  IRN JEO00008

  • Appointed representative dealing with clients for which they require qualification (12 Nov 2024 to 26 Nov 2025)
  • [FCA CF] Client dealing (12 Nov 2024 to 26 Nov 2025)
  • CF30 Customer (18 Sep 2024 to 26 Nov 2025)
• Jeffrey Alan Baker

  IRN JAB00110

  • CF1 Director (1 Dec 2001 to 29 Jan 2009)
• Kerry Anne Saunders

  IRN KXS01852

  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2021)
  • CF30 Customer (19 Mar 2015 to 8 Dec 2019)

• EJS Financial Planners Ltd

  FRN 1012141 · Appointed 18 Sep 2024

• F P Wealth Management Ltd

  FRN 438213 · Appointed 23 Aug 2005

No changes recorded yet.