Delta Financial Management Limited

• Principal Place of Business

  Unit 2 Elstree Gate

  Elstree Way

  Borehamwood

  Hertfordshire

  WD6 1JD

  UNITED KINGDOM

  Phone

  +4402082074860

  Web

  https://www.deltafinancial.co.uk

• Complaints Contact

  Saltus

  4500 Parkway

  Whiteley

  Fareham

  Hampshire

  PO15 7AZ

  UNITED KINGDOM

  Phone

  +4401489663700

• 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

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  • · 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

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  • · 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

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  • · 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, 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.

• 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.

• Alan Ralph Buet

  IRN ARB00020

  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 22 May 2015)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 22 May 2015)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
• Bharatkumar Shah

  IRN BXS09692

  • SMF17 Money Laundering Reporting Officer (MLRO) (26 Nov 2021 to 2 Mar 2026)
  • SMF16 Compliance Oversight (26 Nov 2021 to 2 Mar 2026)
• Candice Olivia Fields

  IRN CXF23069

  • [FCA CF] Functions requiring qualifications (15 Feb 2021 to 13 Jan 2023)
  • [FCA CF] Client dealing (15 Feb 2021 to 13 Jan 2023)
• Daniel Richard Murad Sopher

  IRN DRS01180

  • CF2 Non Executive Director (10 Apr 2014 to 6 Apr 2016)
  • CF1 Director (23 Feb 2010 to 27 Mar 2014)
• Daniel Underwood

  IRN DXU00012

  • SMF3 Executive Director (since 2 Jan 2026)
• David Thomas Hawkings

  IRN DTH00005

  • CF2 Non Executive Director (12 May 2014 to 6 Apr 2016)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Jun 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 26 Feb 2014)
  • CF1 Director (1 Dec 2001 to 27 Mar 2014)
• Emma Louise Cotgrave

  IRN ELC01022

  • CF30 Customer (1 Nov 2007 to 4 Jan 2013)
  • CF21 Investment Adviser (1 Mar 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (18 Aug 2003 to 1 Mar 2006)
• Ivan Sopher

  IRN IXS00012

  • CF1 Director (1 Dec 2001 to 8 May 2014)
• Jarrod Matthew Ellis

  IRN JME00034

  • 11. Pension transfer specialist
  • 19. Administrative functions in relation to the operation of stakeholder pension schemes
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 17. Administrative functions in relation to managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 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
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF16 Compliance Oversight (12 Mar 2021 to 3 Jan 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (12 Mar 2021 to 3 Jan 2024)
  • CF1 Director (8 Jun 2016 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (29 Aug 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (13 Aug 2003 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 13 Aug 2003)
• Jason Edwards

  IRN JXE00051

  • SMF3 Executive Director (since 1 Mar 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Mar 2026)
  • SMF16 Compliance Oversight (since 1 Mar 2026)

No changes recorded yet.