DAVID SMITH FINANCIAL SERVICES LIMITED LIABILITY PARTNERSHIP

• Principal Place of Business

  David Smith Financial Services

  78 The Broadway

  Loughton

  Essex

  IG10 3ST

  UNITED KINGDOM

  Phone

  +4402085080156

  Web

  https://www.dmbsmith.co.uk

• Complaints Contact

  David Smith Financial Services

  78 The Broadway

  Loughton

  Essex

  IG10 3ST

  UNITED KINGDOM

  Phone

  +4402085080156

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, 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

  Show 2 limitations 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.
  • · 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, 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 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

  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), Life Policy, Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Negotiation

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

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · Limited to debt counselling which is provided in connection with investment advice, buy-to-let mortgages and second charge mortgage

• 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.

• Brenda Smith

  IRN BXS00106

  • CF4 Partner (27 Mar 2003 to 29 Oct 2019)
• Christopher James Maycock

  IRN CJM01316

  • [FCA CF] Client dealing (9 Dec 2019 to 29 Sep 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Sep 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 29 Sep 2023)
  • SMF27 Partner (9 Dec 2019 to 1 Oct 2023)
  • CF4 Partner (29 May 2015 to 8 Dec 2019)
  • CF30 Customer (1 Feb 2008 to 8 Dec 2019)
• Clare Louise Smith

  IRN CLS01066

  • CF4 Partner (27 Mar 2003 to 29 Oct 2019)
• David Michael Benbow Smith

  IRN DMS00078

  • SMF27 Partner (9 Dec 2019 to 23 May 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 10 Mar 2026)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 10 Mar 2026)
  • Responsible for Insurance Distribution (1 Oct 2018 to 27 Nov 2018)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 27 Nov 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (29 Jun 2006 to 30 Sep 2018)
  • CF10 Compliance Oversight (27 Mar 2003 to 27 Nov 2018)
  • CF8 Apportionment and Oversight (27 Mar 2003 to 31 Mar 2009)
  • CF4 Partner (27 Mar 2003 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (27 Mar 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (27 Mar 2003 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (27 Mar 2003 to 27 Nov 2018)
• Ian David Benbow Smith

  IRN IDS00018

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Feb 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 27 Feb 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Feb 2023)
  • SMF27 Partner (9 Dec 2019 to 26 Feb 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 26 Feb 2023)
  • Responsibility for MCD Intermediation (10 Dec 2018 to 26 Feb 2023)
  • CF10 Compliance Oversight (10 Dec 2018 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (10 Dec 2018 to 8 Dec 2019)
  • Responsible for Insurance Distribution (10 Dec 2018 to 26 Feb 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (27 Mar 2003 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (27 Mar 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (27 Mar 2003 to 31 Oct 2007)
• James David Benbow Smith

  IRN JXS12483

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • SMF27 Partner (since 24 May 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 24 May 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (24 Apr 2019 to 8 Dec 2019)
• Kerry Draper

  IRN KXD01205

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Dec 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (17 May 2005 to 31 Oct 2007)
• Oliver Salmon

  IRN OXS00058

  • 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
  • 9A. Advising on P2P agreements
  • SMF27 Partner (since 24 May 2023)
  • SMF16 Compliance Oversight (since 24 May 2023)
  • Responsible for Insurance Distribution (since 24 May 2023)
  • Responsibility for MCD Intermediation (since 24 May 2023)
  • [FCA CF] Client dealing (since 1 Jun 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Jun 2021)

No changes recorded yet.