Deep Blue Financial Limited

• Principal Place of Business

  Deep Blue House

  Lower Quay

  Fareham

  Hampshire

  PO16 0XR

  UNITED KINGDOM

  Phone

  +4401329233364

  Web

  https://www.deepbluefinancial.com

• Complaints Contact

  Deep Blue House

  Lower Quay

  Fareham

  Hampshire

  PO16 0XR

  UNITED KINGDOM

  Phone

  +4401329233364

• 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: 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, 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 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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 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.

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding the administration of debt management plans In this limitation debt management plans are defined as: "a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders"

• 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 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.

• John William Tavender

  IRN JWT01041

  • CF30 Customer (16 Jun 2008 to 9 Feb 2015)
• Kerry Nelson

  IRN KKN00001

  • CF30 Customer (1 Nov 2007 to 13 Dec 2007)
  • CF21 Investment Adviser (15 Aug 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (20 Oct 2006 to 15 Aug 2007)
  • CF2 Non Executive Director (1 Dec 2001 to 7 Jun 2002)
• Paul Bamsey

  IRN PWB00025

  • 7. Giving personal recommendations on long-term care insurance contracts
  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (23 Jan 2013 to 8 Dec 2019)
• Paul Francis Fisher

  IRN PFF00002

  • CF30 Customer (1 Nov 2007 to 8 Jun 2009)
  • CF21 Investment Adviser (24 Sep 2002 to 31 Oct 2007)
• Robert John Bolton

  IRN RJB01513

  • CF30 Customer (9 Aug 2012 to 2 Apr 2015)
• Rodney Stuart Warne

  IRN RSW01083

  • [FCA CF] Functions requiring qualifications (24 Feb 2020 to 17 Sep 2020)
• Sam Fordham

  IRN SAF01141

  • CF30 Customer (18 May 2015 to 11 Jun 2015)
• Simon David Idris White

  IRN SDW00006

  • [FCA CF] Functions requiring qualifications (20 Jun 2022 to 20 Oct 2022)
  • [FCA CF] Client dealing (20 Jun 2022 to 20 Oct 2022)
• Simon Peter Garber

  IRN SPG01076

  • CF24 Pension Transfer Specialist (17 Jan 2007 to 1 May 2007)
  • CF21 Investment Adviser (13 Jun 2005 to 1 May 2007)
• Stephen Nicholas Chafer

  IRN SNC00004

  • CF30 Customer (1 Nov 2007 to 31 Mar 2014)
  • CF22 Investment Adviser (Trainee) (14 Aug 2006 to 31 Oct 2007)

No changes recorded yet.