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

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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 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

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

• Debt Advice

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  • · 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.

• Peter Dawes

  IRN PXD00104

  • 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
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [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)
• Robert Maxwell Cornish

  IRN RMC01085

  • 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)
• Ryan Ashley Marriott

  IRN RXM01004

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 19 Jan 2026)
  • [FCA CF] Client dealing (since 19 Jan 2026)
• Samuel Edwards

  IRN SXE01354

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 19 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 Aug 2019 to 8 Dec 2019)
• Sarah Heal

  IRN SXH27320

  • [FCA CF] Client dealing (23 Aug 2022 to 12 Apr 2024)
  • [FCA CF] Functions requiring qualifications (23 Aug 2022 to 12 Apr 2024)
• Shane Paul Cox

  IRN SPC01149

  • 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 19 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 (10 Feb 2009 to 8 Dec 2019)
• Simon John Carter

  IRN SJC00120

  • 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 (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (31 Oct 2006 to 31 Oct 2007)
• Stephen Guy Spencer

  IRN SXS01657

  • CF30 Customer (1 Nov 2007 to 21 Sep 2016)
  • CF22 Investment Adviser (Trainee) (3 May 2007 to 31 Oct 2007)
• Stephen James Walton

  IRN SJW01430

  • CF30 Customer (5 Oct 2010 to 14 Dec 2012)
• Stephen Leslie Ware

  IRN SXW00040

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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 (17 May 2011 to 8 Dec 2019)

No changes recorded yet.