DOBSON AND HODGE LIMITED

• Principal Place of Business

  11-15 Thorne Road

  Doncaster

  South Yorkshire

  DN1 2HH

  UNITED KINGDOM

  Phone

  +4401302323465

  Web

  https://www.dobsonandhodge.co.uk

• Complaints Contact

  11-13 Thorne Road

  Doncaster

  South Yorkshire

  DN1 2HH

  UNITED KINGDOM

  Phone

  +4401302323465

• P2P Lending Advice

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

• Pension Transfer Advice

  For Retail (Investment), 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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  • · 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

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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, 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.

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Credit Brokering

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Debt Plan Admin

• Debt Collection

• Debt Advice

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  • · 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 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.

• Andrew Goffin

  IRN AXG00159

  • Responsible for Insurance Mediation (14 Jan 2005 to 29 Jan 2009)
  • CF1 Director (1 Dec 2001 to 27 Feb 2018)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Sep 2010)
  • CF21 Investment Adviser (1 Dec 2001 to 24 Sep 2004)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Sep 2010)
• Andrew Nicholas Horton

  IRN ANH00002

  • 11. Pension transfer specialist
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (30 Mar 2021 to 12 Mar 2026)
  • SMF3 Executive Director (9 Dec 2019 to 12 Mar 2026)
  • CF1 Director (17 May 2012 to 8 Dec 2019)
  • CF30 Customer (17 May 2012 to 8 Dec 2019)
• Christopher Ridgeway

  IRN CXR00020

  • CF21 Investment Adviser (1 Dec 2001 to 1 Aug 2004)
• Darren Wood

  IRN DXW01477

  • CF30 Customer (1 Oct 2014 to 15 Apr 2016)
• David Verity Llewellyn

  IRN DVL01006

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (18 Jul 2018 to 8 Dec 2019)
• Graeme Andrew Cumming

  IRN GAC00024

  • CF30 Customer (1 Nov 2007 to 30 Dec 2007)
  • CF1 Director (AR) (17 Aug 2004 to 30 Dec 2007)
  • CF24 Pension Transfer Specialist (28 Aug 2003 to 31 Oct 2007)
  • CF21 Investment Adviser (24 Dec 2002 to 31 Oct 2007)
  • CF7 Sole Trader (AR) (24 Dec 2002 to 17 Aug 2004)
• Ian Milliken

  IRN IXM00017

  • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
  • CF1 Director (26 Mar 2004 to 31 Dec 2009)
  • CF21 Investment Adviser (31 Jan 2003 to 31 Oct 2007)
• James Joseph Caruth

  IRN JJC01093

  • CF1 Director (16 Mar 2004 to 4 Sep 2018)
  • CF10 Compliance Oversight (16 Mar 2004 to 4 Sep 2018)
• Nicholas James Machell

  IRN NJM00021

  • CF21 Investment Adviser (5 Jul 2004 to 27 Nov 2005)
• Paul Stocks

  IRN PXS00209

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Aug 2020)
  • SMF3 Executive Director (9 Dec 2019 to 24 Aug 2020)
  • CF11 Money Laundering Reporting (13 Sep 2010 to 8 Dec 2019)
  • CF30 Customer (1 Feb 2010 to 8 Dec 2019)
  • CF1 Director (1 Feb 2010 to 8 Dec 2019)

• Vision Financial Planning Ltd (no longer appointed)

  FRN 221542 · Appointed 23 Dec 2002 · Until 30 Dec 2007

No changes recorded yet.