David Travers Financial Services

• Principal Place of Business

  Lambourne House

  Sheldon

  Honiton

  Devon

  EX14 4QR

  UNITED KINGDOM

  Phone

  +4401404841439

• Complaints Contact

  Lambourne House

  Sheldon

  Honiton

  Devon

  EX14 4QR

  UNITED KINGDOM

  Phone

  +4401404841439

• 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

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  • · 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, 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

• 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, 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, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Credit Brokering

• 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

• David Vaughan Travers

  IRN DVT00002

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • Sole trader dealing with clients for which they require qualification (since 9 Dec 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF11 Money Laundering Reporting (15 Jul 2013 to 8 Dec 2019)
  • Responsible for Insurance Mediation (26 Sep 2012 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
  • CF10 Compliance Oversight (3 Jan 2006 to 8 Dec 2019)
• Graeme Roy Kenyon

  IRN GRK00008

  • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 13 Oct 2025)
  • CF30 Customer (1 Jan 2013 to 8 Dec 2019)
• Jason James Lawes

  IRN JJL01081

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)

No changes recorded yet.