Doherty Pension & Investment Consultancy Limited

• Principal Place of Business

  6th Floor

  River House

  48-60 High Street

  Belfast

  County Antrim

  BT1 2BE

  UNITED KINGDOM

  Phone

  +4402890533350

  Web

  https://www.dohertypic.com

• Complaints Contact

  6th Floor

  River House

  48-60 High Street

  Belfast

  County Antrim

  BT1 2BE

  UNITED KINGDOM

  Phone

  +4402890533350

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

  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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Stockbroking

  For Professional, Retail (Investment), Debenture, Government and public security, Personal pension scheme, 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)" is limited to the investment types granted for this activity.

• Debt Advice

  Show 1 limitation Hide limitations

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

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Debenture, Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Alan John Thomson

  IRN AJT00054

  • 11. Pension transfer specialist
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (30 Aug 2005 to 8 Dec 2019)
  • CF1 Director (30 Aug 2005 to 8 Dec 2019)
  • CF21 Investment Adviser (2 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
• Alastair Henry

  IRN AXH00132

  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
• Andrew Dow

  IRN AXD00160

  • CF30 Customer (1 Nov 2007 to 10 Feb 2010)
  • CF21 Investment Adviser (5 Jul 2006 to 31 Oct 2007)
• Colin John McHugh

  IRN CJM00130

  • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
  • CF21 Investment Adviser (3 May 2007 to 31 Oct 2007)
• Connor Lavery

  IRN CXL14139

  • 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 (7 May 2019 to 8 Dec 2019)
• Debbie Jean Connolly

  IRN DJC01469

  • CF30 Customer (1 Aug 2014 to 13 Aug 2016)
• Deirdre Teresa Moore

  IRN DXM00264

  • CF30 Customer (1 Nov 2007 to 22 May 2015)
  • CF21 Investment Adviser (12 May 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 12 May 2004)
• Gavin Curran

  IRN GJC01105

  • [FCA CF] Client dealing (9 Dec 2019 to 28 Jun 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Jun 2024)
  • SMF3 Executive Director (9 Dec 2019 to 1 Jul 2024)
  • CF1 Director (21 Aug 2015 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (16 May 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (15 Nov 2002 to 20 Nov 2004)
• Grace Suzanne Kay

  IRN GXK00035

  • CF30 Customer (1 Nov 2007 to 31 Mar 2014)
  • CF21 Investment Adviser (27 Oct 2003 to 5 Nov 2003)
• Ian Harold Brown

  IRN IHB00004

  • CF30 Customer (18 Mar 2009 to 31 Mar 2014)

No changes recorded yet.