Daly, Hoggett & Co

• Principal Place of Business

  5-11 Mortimer Street

  London

  W1T 3HS

  UNITED KINGDOM

  Phone

  +4402076377906

  Web

  https://www.dalyhoggett.co.uk

• Complaints Contact

  5-11 Mortimer Street

  London

  W1T 3HS

  UNITED KINGDOM

  Phone

  +4402076377906

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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, Eligible Counterparty, 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

• Authorised to Operate

• Arranges Investments

  For Commercial, Eligible Counterparty, 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

• Investment Setup

  For Commercial, Eligible Counterparty, 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

• Daniel John Gould

  IRN DJG00050

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF27 Partner (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF4 Partner (28 May 2008 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Jun 2002 to 31 Oct 2007)
• David John Bartlett

  IRN DJB01323

  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF8 Apportionment and Oversight (11 Apr 2005 to 31 Mar 2009)
  • CF3 Chief Executive (11 Apr 2005 to 8 Dec 2019)
  • Responsible for Insurance Mediation (11 Apr 2005 to 30 Sep 2018)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
• John Edward Whitworth

  IRN JEW01066

  • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
  • Responsible for Insurance Mediation (14 Jan 2005 to 31 Mar 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 31 Mar 2005)
  • CF4 Partner (1 Dec 2001 to 31 Mar 2005)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2005)
• John Graham Stanley

  IRN JGS01049

  • CF21 Investment Adviser (10 Dec 2002 to 30 Nov 2004)
• Roberto Vittorio Brianti

  IRN RVB01007

  • SMF27 Partner (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)

No changes recorded yet.