DAVID KNEALE FINANCIAL MANAGEMENT LTD.

• Principal Place of Business

  1 Aalborg Place

  Lancaster

  LA1 1BJ

  UNITED KINGDOM

  Phone

  +440152439888

  Web

  https://www.dkfm.co.uk

• Complaints Contact

  1 Aalborg Place

  Lancaster

  LA1 1BJ

  UNITED KINGDOM

  Phone

  +440152439888

• Pension Transfer Advice

  For Retail (Investment), Life Policy, Personal pension scheme, 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 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, 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, 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, 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.

• 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, 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.

• Alexander William Edward Lane

  IRN AXL00072

  • 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 20 Aug 2020)
  • [FCA CF] Functions requiring qualifications (since 20 Aug 2020)
• David Alan Kneale

  IRN DXK00036

  • CF30 Customer (1 Nov 2007 to 14 Dec 2010)
  • CF21 Investment Adviser (2 Jan 2004 to 31 Oct 2007)
  • CF1 Director (2 Jan 2004 to 14 Aug 2013)
  • CF8 Apportionment and Oversight (2 Jan 2004 to 31 Mar 2009)
  • CF3 Chief Executive (2 Jan 2004 to 1 Jul 2010)
• David James Walker

  IRN DJW00067

  • CF21 Investment Adviser (2 Jan 2004 to 31 Mar 2004)
• Gary Edward Lane

  IRN GEL00004

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 9A. Advising on P2P agreements
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 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 (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10 Compliance Oversight (31 Jan 2011 to 8 Dec 2019)
  • Responsible for Insurance Mediation (21 Dec 2010 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (2 Jan 2004 to 31 Oct 2007)
  • CF21 Investment Adviser (2 Jan 2004 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (2 Jan 2004 to 8 Dec 2019)
  • CF1 Director (2 Jan 2004 to 8 Dec 2019)
• Kathleen Margaret Mary Bridget Murray

  IRN KML00007

  • CF21 Investment Adviser (2 Jan 2004 to 24 Aug 2004)
• Kathryn Janet Winn

  IRN KJW00020

  • CF21 Investment Adviser (2 Jan 2004 to 22 Mar 2006)
• Matthew James Helme

  IRN MXH00300

  • 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 4 Jan 2021)
  • [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
• Stephen John Garner

  IRN SJG01303

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2021)
  • SMF3 Executive Director (9 Dec 2019 to 31 May 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2021)
  • CF1 Director (4 Feb 2014 to 8 Dec 2019)
  • CF30 Customer (7 Jan 2013 to 8 Dec 2019)
• Thomas Evans

  IRN TXE00012

  • CF30 Customer (1 Nov 2007 to 18 Dec 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 21 Dec 2010)
  • CF1 Director (2 Jan 2004 to 13 Nov 2013)
  • CF10 Compliance Oversight (2 Jan 2004 to 21 Dec 2010)
  • CF21 Investment Adviser (2 Jan 2004 to 31 Oct 2007)

No changes recorded yet.