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.

• Joseph Jessup

  IRN JXJ00349

  • 14. Managing investments
  • 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)
  • [FCA CF] Functions requiring qualifications (since 18 Apr 2024)
  • [FCA CF] Client dealing (since 18 Apr 2024)
• Joshua Garry Evans

  IRN JXE00094

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 17 Feb 2020)
  • [FCA CF] Functions requiring qualifications (since 17 Feb 2020)
• Lisa Jane O'Beirne

  IRN LJO01022

  • CF1 Director (AR) (since 20 May 2015)
  • CF30 Customer (1 Apr 2017 to 29 May 2019)
• Louisa Catherine Stretton

  IRN LCS01071

  • 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
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 May 2019 to 8 Dec 2019)
• Mark James Sparrow

  IRN MJS01566

  • 14. Managing investments
  • 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)
  • 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 (11 Jan 2012 to 8 Dec 2019)
• Martin Kelly

  IRN MXK00183

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 19 Oct 2020)
  • [FCA CF] Client dealing (since 19 Oct 2020)
• Matthew David Cox

  IRN MDC01189

  • 14. Managing investments
  • 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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 Mar 2015 to 8 Dec 2019)
• Michaela Louise Martin

  IRN MLM01121

  • CF1 Director (AR) (since 15 May 2015)
• Natalie Elizabeth Hand

  IRN NXH00123

  • [FCA CF] Client dealing (12 Jul 2022 to 31 Dec 2022)
  • [FCA CF] Functions requiring qualifications (12 Jul 2022 to 31 Dec 2022)
• Nicholas David Beal

  IRN NDB00015

  • 14. Managing investments
  • 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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (AR) (since 22 Mar 2013)
  • CF30 Customer (since 9 Nov 2010)
  • CF1 Director (9 Nov 2010 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.