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

  Show 1 limitation Hide limitations

  • · 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.

• Jennifer Williams

  IRN JXW00191

  • CF30 Customer (11 May 2011 to 31 Aug 2012)
• Jessica Mary Copp

  IRN JXC00812

  • 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 31 Jan 2022)
• Jessica Moody

  IRN JXM18662

  • 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 (19 Aug 2019 to 8 Dec 2019)
• Jonathan Sampson

  IRN JXS01816

  • 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 6 Jan 2020)
  • Appointed representative dealing with clients for which they require qualification (20 Dec 2020 to 16 Aug 2021)
• Kevin John Bray

  IRN KJB01072

  • CF30 Customer (25 Nov 2019 to 8 Dec 2019)
• Kristian Doggrell

  IRN KAD01071

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Aug 2021)
  • CF30 Customer (19 Aug 2019 to 8 Dec 2019)
• Louise Griffin

  IRN LJG01075

  • 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 (29 Jan 2013 to 8 Dec 2019)
• Mark Kenneth Donne-Davis

  IRN MKD01012

  • 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 (29 Sep 2014 to 8 Dec 2019)
• Michael George Dawes

  IRN MGD00018

  • Director of firm who is not a certification employee or a SMF manager (since 1 Jun 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 31 Oct 2022)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Aug 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Jun 2024)
  • SMF3 Executive Director (9 Dec 2019 to 1 Jun 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jun 2024)
  • Responsible for Insurance Distribution (1 Oct 2018 to 1 Jun 2024)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 31 Jul 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (31 Oct 2006 to 8 Dec 2019)
  • CF10 Compliance Oversight (31 Oct 2006 to 8 Dec 2019)
  • CF1 Director (31 Oct 2006 to 8 Dec 2019)
  • CF21 Investment Adviser (31 Oct 2006 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (31 Oct 2006 to 31 Mar 2009)
  • Responsible for Insurance Mediation (31 Oct 2006 to 30 Sep 2018)
• Michael John Baker

  IRN MJB00065

  • CF30 Customer (4 Jan 2010 to 21 Nov 2019)

No changes recorded yet.