David Stock & Co Limited

• Principal Place of Business

  73 Bridge St

  Newport

  Gwent

  NP20 4AQ

  UNITED KINGDOM

  Phone

  +4401633672000

  Web

  https://www.davidstock.co.uk

• Complaints Contact

  73 Bridge St

  Newport

  Gwent

  NP20 4AQ

  UNITED KINGDOM

  Phone

  +4401633672000

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• Investment Advice (no pensions)

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

  Show 1 limitation Hide limitations

  • · 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), 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

• Stockbroking

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

• Debt Advice

  Show 1 limitation Hide limitations

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

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

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

• Chistopher Stock

  IRN CXS00333

  • [FCA CF] Client dealing (31 Mar 2021 to 9 Feb 2026)
  • [FCA CF] Functions requiring qualifications (31 Mar 2021 to 9 Feb 2026)
• David James Stock

  IRN DJS00027

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 17 Mar 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 23 Jul 2014)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• David Ralph Jones

  IRN DRJ00015

  • CF30 Customer (1 Nov 2007 to 30 Jan 2009)
  • CF21 Investment Adviser (26 Apr 2006 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (26 Apr 2006 to 31 Oct 2007)
• Gareth Henry Edward Hopes

  IRN GHH00002

  • CF21 Investment Adviser (6 Nov 2003 to 5 Apr 2004)
• Helen Claire Griffiths

  IRN HCG01013

  • CF22 Investment Adviser (Trainee) (17 Feb 2004 to 24 Apr 2004)
• Ian Jones

  IRN IXJ00009

  • CF21 Investment Adviser (1 Dec 2001 to 13 Jul 2005)
• Ian Ronald Howls

  IRN IRH01042

  • CF22 Investment Adviser (Trainee) (23 Sep 2002 to 5 Apr 2004)
• Martyn Reader

  IRN MXR00022

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 31 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 23 Jul 2014)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Nicola Clare Mould

  IRN NCM00011

  • CF30 Customer (1 Nov 2007 to 7 Apr 2008)
  • CF1 Director (AR) (16 May 2006 to 1 Nov 2006)
  • CF21 Investment Adviser (1 Oct 2004 to 31 Oct 2007)
• Paul John Morgan

  IRN PJM01328

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Feb 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 9 Feb 2026)
  • CF30 Customer (12 Apr 2017 to 8 Dec 2019)

• Aequitas Wealth Management Ltd (no longer appointed)

  FRN 457822 · Appointed 28 Sep 2006 · Until 13 Apr 2008

• Magor Investments Ltd (no longer appointed)

  FRN 451980 · Appointed 16 May 2006 · Until 1 Nov 2006

• Dryden & Jones Ltd (no longer appointed)

  FRN 451109 · Appointed 21 Apr 2006 · Until 30 Jan 2009

No changes recorded yet.