D&J McGuinness Personal Finance Ltd

Date authorised
24 November 2015
Companies House
04556637
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    1 Little Lane
    Carlton
    Wakefield
    West Yorkshire
    WF3 3RS
    UNITED KINGDOM
    Phone
    +4401132824490

  • Complaints Contact

    1 Little Lane
    Carlton
    Wakefield
    West Yorkshire
    WF3 3RS
    UNITED KINGDOM
    Phone
    +4401132824490

What this firm is allowed to do

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

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Doorstep Loans

  • Doorstep Loan Servicing

Approved individuals

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

  • David McGuinness

    IRN DXM02794

    • [FCA CF] Client dealing (since 1 May 2020)
    • Director of firm who is not a certification employee or a SMF manager (since 1 May 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF11 Money Laundering Reporting (24 Nov 2015 to 8 Dec 2019)
    • CF1 Director (24 Nov 2015 to 8 Dec 2019)
  • Tom McGuinness

    IRN TXM12438

    • 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)
    • 9A. Advising on P2P agreements
    • 9. Advising on syndicate participation at Lloyd's
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 10. Broker fund adviser
    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
    • 16. Safeguarding and administering investments or holding client money
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 21A. Designing scripted questions for execution-only sales of regulated mortgage contracts for a non-business purpose
    • 22. Designing scripted questions for execution-only sales of equity release transactions
    • 23. Overseeing execution-only sales on a day-to-day basis in relation to equity release transactions
    • 3. Giving personal recommendations on derivatives
    • [PRA CF] Significant risk taker or Material risk taker (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [PRA CF] Key function holder (since 9 Dec 2019)
    • [PRA CF] Managing a material risk taker (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Algorithmic trading (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • [FCA CF] CASS oversight function (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (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] Proprietary trader (since 9 Dec 2019)
    • CF1 Director (7 Oct 2019 to 8 Dec 2019)

Recent activity

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

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