DAVID WILLIAMS I F A LIMITED

• Principal Place of Business

  5 Waterside Way

  Northampton

  Northamptonshire

  NN4 7XD

  UNITED KINGDOM

  Phone

  +4401604621302

  Web

  http://www.dwifa.co.uk

• Complaints Contact

  5 Waterside Way

  Northampton

  Northamptonshire

  NN4 7XD

  UNITED KINGDOM

  Phone

  +4401604621302

• 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

  • · 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 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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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

• 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 buy-to-let mortgages and second charge mortgages.

• Equity Release Setup

  For Customer, Home reversion plans

• 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.

• Daniel Lewis Slack

  IRN DLS01093

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 14. Managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF3 Executive Director (since 1 Jan 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (9 Nov 2010 to 8 Dec 2019)
• David Antony Sparrow

  IRN DAS00017

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 14. Managing investments
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (AR) (2 Apr 2013 to 13 Feb 2017)
  • CF1 Director (9 Nov 2010 to 13 Feb 2017)
  • CF30 Customer (9 Nov 2010 to 24 Mar 2026)
• David John Knight

  IRN DJK00010

  • CF30 Customer (9 Nov 2010 to 21 Dec 2012)
  • CF1 Director (9 Nov 2010 to 21 Dec 2012)
• Drew Joseph Hudson

  IRN DXH00810

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 14. Managing investments
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 18 Apr 2024)
  • [FCA CF] Functions requiring qualifications (since 18 Apr 2024)
• Geoffrey Stuart Howes

  IRN GSH00006

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Aug 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 26 Aug 2022)
  • CF30 Customer (9 Nov 2010 to 8 Dec 2019)
• Ian James Lowe

  IRN IJL00016

  • SMF16 Compliance Oversight (9 Dec 2019 to 31 May 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (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)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 31 May 2021)
  • Responsibility for MCD Intermediation (23 Mar 2016 to 31 May 2021)
  • CF10 Compliance Oversight (9 Nov 2010 to 8 Dec 2019)
  • CF30 Customer (9 Nov 2010 to 8 Dec 2019)
  • Responsible for Insurance Mediation (9 Nov 2010 to 30 Sep 2018)
  • CF1 Director (9 Nov 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (9 Nov 2010 to 8 Dec 2019)
• Ian John William Bushby

  IRN IJB00016

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2025)
  • CF30 Customer (2 Jan 2013 to 8 Dec 2019)
• James Nolan

  IRN JXN90812

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 29 Apr 2024)
  • [FCA CF] Functions requiring qualifications (since 29 Apr 2024)
• John Daniel Freeman

  IRN JDF01113

  • 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
  • 14. Managing investments
  • SMF3 Executive Director (since 1 Jan 2026)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (24 Sep 2018 to 8 Dec 2019)
• Jonathan Charles Moore

  IRN JXM19534

  • 14. Managing investments
  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (6 Sep 2019 to 8 Dec 2019)

• The Retirement Desk Limited

  FRN 689851 · Appointed 28 Apr 2015

• David Williams IFA Mortgage & Insurance Services Ltd

  FRN 597007 · Appointed 8 Mar 2013

No changes recorded yet.