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

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  • · 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.

• Jacqueline Kyle

  IRN JXK01688

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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 (20 Feb 2017 to 8 Dec 2019)
• John Edward Dooher

  IRN JXD01827

  • 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)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF1 Director (19 Aug 2015 to 8 Dec 2019)
  • CF30 Customer (27 Nov 2008 to 8 Dec 2019)
• Lorraine Sarah Rodgers

  IRN LXR00169

  • SMF3 Executive Director (since 21 Feb 2022)
• Matthew Gray

  IRN MXG14138

  • 14. Managing investments
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (24 Apr 2019 to 8 Dec 2019)
• Michael David Wright

  IRN MDW01115

  • Director of firm who is not a certification employee or a SMF manager (since 19 Apr 2023)
• Murray Beveridge Smith

  IRN MBS00006

  • Director of firm who is not a certification employee or a SMF manager (19 Apr 2023 to 16 May 2025)
• Philip Wallace Hunter

  IRN PWH00001

  • CF21 Investment Adviser (25 Oct 2002 to 19 Mar 2004)
• Sara Jayne Gibson

  IRN SJG00001

  • [FCA CF] Functions requiring qualifications (31 Jul 2023 to 24 Jul 2025)
  • [FCA CF] Client dealing (31 Jul 2023 to 24 Jul 2025)
  • Responsible for Insurance Mediation (14 Jan 2005 to 4 Jan 2006)
  • CF17 Significant Mgt (Other Business Operations) (31 Oct 2004 to 4 Jan 2006)
  • CF10 Compliance Oversight (27 Aug 2004 to 4 Jan 2006)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 4 Jan 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 4 Jan 2006)
• Sean Alexander Barrett

  IRN SAB01245

  • CF22 Investment Adviser (Trainee) (9 Nov 2004 to 25 Aug 2005)
• Sean Tanuvasa

  IRN SXT00573

  • [FCA CF] Functions requiring qualifications (28 Jun 2023 to 5 Sep 2024)
  • [FCA CF] Client dealing (28 Jun 2023 to 5 Sep 2024)

No changes recorded yet.