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

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  • · 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.

• Nicholas David Discombe

  IRN NDD00004

  • 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)
  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (9 Nov 2010 to 8 Dec 2019)
• Nicholas Edward Joyner

  IRN NEJ00006

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 Oct 2016 to 8 Dec 2019)
• Philip Martin Drage

  IRN PMD01079

  • CF1 Director (AR) (17 May 2017 to 10 Oct 2018)
• Phillip Brian Cox

  IRN PBC00008

  • CF1 Director (9 Nov 2010 to 24 May 2019)
  • CF30 Customer (9 Nov 2010 to 24 May 2019)
• Rachel Coowar

  IRN RXC01947

  • 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 (19 Sep 2017 to 8 Dec 2019)
• Robert John Jaggard

  IRN RJJ01023

  • 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 (9 Nov 2010 to 8 Dec 2019)
• Rory Burrough

  IRN RXB01989

  • 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)
  • 14. Managing investments
  • [FCA CF] Client dealing (since 1 May 2020)
  • [FCA CF] Functions requiring qualifications (since 1 May 2020)
• Scott Kent

  IRN SXK19305

  • 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
  • [FCA CF] Functions requiring qualifications (since 2 Mar 2026)
  • [FCA CF] Client dealing (since 2 Mar 2026)
• Stephen Womack

  IRN SXW01934

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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
  • Responsibility for MCD Intermediation (since 9 Mar 2022)
  • Responsible for Insurance Distribution (since 9 Mar 2022)
  • SMF16 Compliance Oversight (since 9 Mar 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Mar 2022)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (3 Apr 2017 to 8 Dec 2019)
  • CF30 Customer (6 Sep 2013 to 8 Dec 2019)
• Stuart Plows

  IRN SXP02117

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Oct 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Oct 2021)
  • CF30 Customer (1 Apr 2018 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.