Courtney Havers LLP

• Principal Place of Business

  5A Valley Industries

  Cuckoo Lane

  Tonbridge

  TN11 0AG

  UNITED KINGDOM

  Phone

  +441892544233

  Web

  https://www.courtneyhavers.co.uk

• Complaints Contact

  5A Valley Industries

  Cuckoo Lane

  Tonbridge

  TN11 0AG

  UNITED KINGDOM

  Phone

  +441892544233

• 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 pension policies with a Guaranteed Annuity Rate.
  • · 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

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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.

• 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

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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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is 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.

• . CH Creative Resources Limited

  IRN XXC01074

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (1 May 2007 to 8 Dec 2019)
• Benjamin James Buhagiar

  IRN BJB01143

  • 21. Advising or arranging (bringing about) equity release transactions
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (19 Jul 2017 to 8 Dec 2019)
• Christine Ann Alexander

  IRN CAA01088

  • CF1 Director (AR) (16 Nov 2015 to 28 Feb 2019)
• Claire Hobbs

  IRN CEA01029

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Manager of certification employee (since 1 Apr 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (1 May 2007 to 31 Oct 2007)
• Esther Mary Dryland

  IRN EMD00003

  • CF30 Customer (1 Nov 2007 to 21 Dec 2007)
  • CF22 Investment Adviser (Trainee) (1 May 2007 to 31 Oct 2007)
• Graham Adams

  IRN GRA00013

  • [FCA CF] Client dealing (1 Feb 2020 to 30 Apr 2020)
  • [FCA CF] Functions requiring qualifications (1 Feb 2020 to 30 Apr 2020)
  • CF30 Customer (3 Feb 2012 to 31 Jan 2020)
• Ian David Beardow

  IRN IXB22693

  • Responsibility for MCD Intermediation (17 Feb 2020 to 1 Mar 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (7 Jan 2020 to 1 Mar 2025)
  • [FCA CF] Manager of certification employee (7 Jan 2020 to 16 Apr 2025)
  • SMF16 Compliance Oversight (7 Jan 2020 to 1 Mar 2025)
• Matthew Peter Webb

  IRN MPW01097

  • 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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (28 Feb 2008 to 8 Dec 2019)
• Matthew Tuffield

  IRN MXT01512

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (1 May 2007 to 31 Oct 2007)
• Raymond Charles Tuffield

  IRN RCT00003

  • [FCA CF] Manager of certification employee (since 1 Apr 2025)
  • Responsibility for MCD Intermediation (since 1 Mar 2025)
  • SMF16 Compliance Oversight (since 1 Mar 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Mar 2025)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 23 Jan 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 23 Jan 2020)
  • CF30 Customer (1 Nov 2007 to 20 Dec 2012)
  • CF21 Investment Adviser (1 May 2007 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 May 2007 to 8 Dec 2019)
  • CF4 Partner (1 May 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 May 2007 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (1 May 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 May 2007 to 30 Sep 2018)

• Richard Alexander Financial Planning Ltd (no longer appointed)

  FRN 526007 · Appointed 2 Nov 2015 · Until 28 Feb 2019

• Courtney Havers Private Clients Limited (no longer appointed)

  FRN 622608 · Appointed 2 May 2014 · Until 31 Jan 2020

No changes recorded yet.