Carter Dawes IFA Solutions Limited

• Principal Place of Business

  130 High Street

  Honiton

  Devon

  EX14 1JP

  UNITED KINGDOM

  Phone

  +440140446943

  Web

  https://www.carterdawes.com

• Complaints Contact

  Montana House

  130 High Street

  Honiton

  Devon

  EX14 1JP

  UNITED KINGDOM

  Phone

  +440140446943

• 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

  Show 2 limitations 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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• 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.

• 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Credit Brokering

  Show 1 limitation Hide limitations

  • · The firm may not broker credit for the purpose of increasing the funds available for investment

• Debt Advice

  Show 2 limitations Hide limitations

  • · Limited to debt counselling which is provided in connection with investment advice, buy to let mortgages and second charge mortgages
  • · This permission is limited to debt counselling with no debt management activity

• 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.

• Andrew John Clarke

  IRN AJC00091

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 16 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 16 Jan 2023)
• Christopher John Edgar

  IRN CJE01068

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on 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
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 9A. Advising on P2P agreements
  • [FCA CF] Client dealing (since 14 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 17 Aug 2021)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Aug 2021)
  • CF30 Customer (4 Jan 2010 to 8 Dec 2019)
• Christopher John Vicary

  IRN CJV01013

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 14 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Aug 2021)
  • CF30 Customer (17 Apr 2012 to 8 Dec 2019)
• Christopher Joseph Mitchell

  IRN CJM01385

  • CF30 Customer (21 Jan 2010 to 30 Apr 2012)
• David Edward Grant

  IRN DEG01030

  • CF30 Customer (4 Jan 2010 to 14 Dec 2012)
• David John Robinson

  IRN DJR00090

  • CF30 Customer (11 Feb 2014 to 25 Jul 2016)
• Edwina Rumsey

  IRN EAR00003

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 14 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Aug 2021)
  • CF30 Customer (7 Oct 2016 to 8 Dec 2019)
• Gary Frederick Moody

  IRN GFM01041

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 14 Apr 2022)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Aug 2021)
  • CF30 Customer (4 Jan 2010 to 8 Dec 2019)
• Glyn Bacon

  IRN GXB00032

  • CF30 Customer (4 Jan 2010 to 29 Dec 2010)
• James Michael Dawes

  IRN JXD09941

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Responsible for Insurance Distribution (since 19 Jun 2024)
  • SMF16 Compliance Oversight (since 1 Jun 2024)
  • [FCA CF] Manager of certification employee (since 1 Jun 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Oct 2022)
  • [FCA CF] Client dealing (since 14 Apr 2022)
  • SMF3 Executive Director (since 10 Dec 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Aug 2021)
  • CF30 Customer (4 Jan 2019 to 8 Dec 2019)

No changes recorded yet.