David Winter Independent Financial Advisers Limited

Date authorised
1 April 2013
Companies House
06128738
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    David Winter IFA Ltd
    Victoria House
    2 Grove Road
    Fareham
    Hampshire
    PO16 7TE
    UNITED KINGDOM
    Phone
    +441329280661
    Web
    https://davidwinterifa.co.uk

  • Complaints Contact

    David Winter IFA Ltd
    Victoria House
    2 Grove Road
    Fareham
    Hampshire
    PO16 7TE
    UNITED KINGDOM
    Phone
    +441329280661

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

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

  • 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

    Show 2 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.

  • Investment Advice (no pensions)

    For Commercial, Professional, 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

    Show 1 limitation
    • · 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.

  • Authorised to Operate

    Show 1 limitation
    • · 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), 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

    Show 1 limitation
    • · 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.

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management activity

  • Investment Setup

    For Commercial, Professional, 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

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • David William Winter

    IRN DWW00024

    • SMF3 Executive Director (9 Dec 2019 to 23 Apr 2020)
    • CF11 Money Laundering Reporting (28 Jun 2012 to 20 Feb 2018)
    • CF30 Customer (1 Nov 2007 to 20 Feb 2018)
    • CF10 Compliance Oversight (22 May 2007 to 20 Feb 2018)
    • CF1 Director (22 May 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (22 May 2007 to 31 Oct 2007)
    • Responsible for Insurance Mediation (22 May 2007 to 20 Feb 2018)
  • Gwyneth Margaret Down

    IRN GMK01029

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (9 Jan 2018 to 8 Dec 2019)
    • CF1 Director (22 May 2007 to 8 Dec 2019)
  • Harry Lomas

    IRN HXL01264

    • 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
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (2 May 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 May 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 May 2018 to 30 Sep 2018)
    • CF30 Customer (6 Apr 2016 to 8 Dec 2019)
  • Robert Peters

    IRN RXP00679

    • 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 14 Jan 2025)
    • [FCA CF] Functions requiring qualifications (since 14 Jan 2025)
  • Samuel O'Mara

    IRN SXO01247

    • CF30 Customer (23 May 2013 to 1 Jul 2016)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.