D G S Independent Financial Advisers Limited

• Principal Place of Business

  2 Crown Buildings

  The Green

  London

  E4 7EX

  UNITED KINGDOM

  Phone

  +4402085248521

  Web

  https://www.dgsifa.com

• Complaints Contact

  2 Crown Buildings

  The Green

  London

  E4 7EX

  UNITED KINGDOM

  Phone

  +4402085248521

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, 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

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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.

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For Commercial, 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 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, 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• 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”.

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, 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.

• Gregory Clarke

  IRN GAC01102

  • 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 19 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (28 Feb 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (11 Oct 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (29 May 2006 to 12 Oct 2006)
• Harry Mays

  IRN HXM00083

  • [FCA CF] Functions requiring qualifications (2 Nov 2020 to 14 Oct 2022)
  • [FCA CF] Client dealing (2 Nov 2020 to 19 Jul 2021)
• Ian James Penberthy

  IRN IJP01039

  • 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] Functions requiring qualifications (since 5 Jan 2023)
  • [FCA CF] Client dealing (since 5 Jan 2023)
• Ian Sanders

  IRN IES01007

  • 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 19 Jul 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (28 Apr 2014 to 8 Dec 2019)
• Ian Staley

  IRN IDS00013

  • [FCA CF] Client dealing (19 Jul 2021 to 14 Aug 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Aug 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (26 Nov 2003 to 31 Oct 2007)
• Ivan Harvey Cox

  IRN IHC00004

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 22 Mar 2021)
  • [FCA CF] Client dealing (22 Mar 2021 to 19 Jul 2021)
• James Barber

  IRN JXB01260

  • [FCA CF] Client dealing (17 Jan 2023 to 28 Mar 2024)
  • [FCA CF] Functions requiring qualifications (17 Jan 2023 to 28 Mar 2024)
• James Hawksworth

  IRN JDH01228

  • CF30 Customer (21 Jun 2016 to 20 Jun 2018)
• James Lacey

  IRN JXL00807

  • 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 14 May 2024)
  • [FCA CF] Functions requiring qualifications (since 14 May 2024)
• Jean Paul Betancourt Paz

  IRN JXB00821

  • 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 15 Apr 2024)
  • [FCA CF] Functions requiring qualifications (since 15 Apr 2024)

• Zhoosh Benefits Ltd

  FRN 1010624 · Appointed 13 May 2024

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