D. A. CALDER LIMITED

• Principal Place of Business

  3rd Floor

  10 Bothwell Street

  Glasgow

  Glasgow City

  G2 6LU

  UNITED KINGDOM

  Phone

  +441415720900

  Web

  https://www.dacalder.com

• Complaints Contact

  3rd Floor

  10 Bothwell Street

  Glasgow

  Glasgow City

  G2 6LU

  UNITED KINGDOM

  Phone

  +441415720900

• Buy-to-Let Mortgage Admin

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Equity Release Advice

  For Customer, Home reversion plans

• 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts, Structured Deposits

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Equity Release Setup

  For Customer, Home reversion plans

• 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

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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.

• Credit Score Services

  Show 1 limitation Hide limitations

  • · This permission is limited to not carrying out credit repair services

• Alan David Calder

  IRN ADC00012

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Nov 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Nov 2021)
  • SMF3 Executive Director (9 Dec 2019 to 1 Dec 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Apr 2020)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Dec 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 9 Apr 2020)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 1 Dec 2021)
  • Responsible for Insurance Mediation (21 Dec 2011 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 19 Dec 2012)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Charlene Compston-Cavanagh

  IRN CXC00250

  • 21. Advising or arranging (bringing about) equity release transactions
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 2 Sep 2024)
• David Alexander Calder

  IRN DAC00016

  • CF1 Director (1 Dec 2001 to 10 Apr 2013)
• Elizabeth Anderson Calder

  IRN EAC00006

  • CF1 Director (1 Dec 2001 to 10 Apr 2013)
• Gerard James Morrison

  IRN GJM01164

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Sep 2020)
  • SMF1 Chief Executive (since 10 Sep 2020)
  • Responsible for Insurance Distribution (since 10 Sep 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (9 Dec 2019 to 10 Sep 2020)
  • CF10 Compliance Oversight (31 Jul 2018 to 8 Dec 2019)
  • CF1 Director (19 Apr 2013 to 8 Dec 2019)
  • CF30 Customer (13 Oct 2010 to 8 Dec 2019)
• Katie Gallagher

  IRN KXG00278

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 7 Apr 2023)
  • [FCA CF] Client dealing (since 7 Apr 2023)
• Lara Michele Williamson

  IRN LXW00053

  • [FCA CF] Client dealing (30 Dec 2019 to 19 Jul 2024)
  • [FCA CF] Functions requiring qualifications (30 Dec 2019 to 19 Jul 2024)
• Rhoda Mary Calder

  IRN RMC01152

  • CF1 Director (16 Nov 2011 to 10 Apr 2013)
• Robert Campbell Menzies Calder

  IRN RCC00020

  • CF30 Customer (1 Nov 2007 to 23 Feb 2011)
  • CF1 Director (1 Dec 2001 to 2 Jun 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.