BARR DAVIS & COMPANY LIMITED

• Principal Place of Business

  Barr Davis and Company Limited

  13 Rossall Road

  Thornton-Cleveleys

  Lancashire

  FY5 1AP

  UNITED KINGDOM

  Phone

  +4401253885844

• Complaints Contact

  Barr Davis and Company Limited

  13 Rossall Road

  Thornton-Cleveleys

  Lancashire

  FY5 1AP

  UNITED KINGDOM

  Phone

  +4401253885844

• P2P Lending Advice

  For Professional, Retail (Investment)

• 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 Professional, 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, 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 Professional, 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, 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.

• Investment Setup

  For Professional, 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, 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.

• Katie Louise Davis Rajasekaran

  IRN KLD01049

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Apr 2020)
  • SMF1 Chief Executive (since 6 Apr 2020)
  • SMF16 Compliance Oversight (since 6 Apr 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (17 Nov 2014 to 8 Dec 2019)
  • CF30 Customer (2 Jul 2012 to 8 Dec 2019)
• Michael John Barr

  IRN MJB00001

  • SMF3 Executive Director (9 Dec 2019 to 28 Apr 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 10 Nov 2006)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 9 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 9 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Prahalathan Rajasekaran

  IRN PXR01169

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 17. Administrative functions in relation to managing investments
  • 16. Safeguarding and administering investments or holding client money
  • 14. Managing investments
  • [FCA CF] Significant management (since 9 Dec 2020)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
  • [FCA CF] Material risk taker (since 9 Dec 2020)
  • CF30 Customer (since 8 Dec 2016)
  • CF1 Director (AR) (since 8 Dec 2016)

• PK Financial Planning and Investments Ltd

  FRN 766029 · Appointed 1 Dec 2016

No changes recorded yet.