DOMINION FINANCIAL MANAGEMENT LIMITED

Date authorised
28 April 2017
Companies House
09427666
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Heathfield
    Chapel Lane
    Willington
    Tarporley
    Cheshire
    CW6 0PH
    UNITED KINGDOM
    Phone
    +441829423140
    Web
    https://www.dominionfm.co.uk

  • Complaints Contact

    Heathfield
    Chapel Lane
    Willington
    Tarporley
    Cheshire
    CW6 0PH
    UNITED KINGDOM
    Phone
    +441829423140

What this firm is allowed to do

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

  • 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

    Show 1 limitation
    • · 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, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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
    • · 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.

  • Debt Advice

    Show 1 limitation
    • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

  • 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, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

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

  • Del Lee Walker

    IRN DLD00011

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 22 Jun 2021)
    • SMF16 Compliance Oversight (since 22 Jun 2021)
  • Georgia Rose Ball

    IRN GXB00410

    • 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] Functions requiring qualifications (since 2 Dec 2024)
  • James Campbell Bell

    IRN JCB00036

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (28 Apr 2017 to 8 Dec 2019)
    • CF30 Customer (28 Apr 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (28 Apr 2017 to 30 Sep 2018)
  • Lisa Angharad Taylor

    IRN LAS01142

    • CF30 Customer (1 Aug 2017 to 31 Aug 2018)
  • Ruth Elizabeth Whitehurst

    IRN REW01079

    • CF30 Customer (28 Apr 2017 to 5 Dec 2018)
    • CF10 Compliance Oversight (28 Apr 2017 to 5 Dec 2018)
    • CF11 Money Laundering Reporting (28 Apr 2017 to 5 Dec 2018)

Recent activity

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

No changes recorded yet.