Doug Wade Insurance Consultant

• Principal Place of Business

  298 Nacton Road

  Ipswich

  Suffolk

  IP3 9JH

  UNITED KINGDOM

  Phone

  +441473728677

• Complaints Contact

  298 Nacton Road

  Ipswich

  Suffolk

  IP3 9JH

  UNITED KINGDOM

  Phone

  +441473728677

• 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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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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), 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 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), 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 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• Debt Advice

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  • · Limited to debt counselling and debt adjusting excluding the administration of debt management plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

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

• David Barry Wade

  IRN DBW00016

  • CF30 Customer (1 Nov 2007 to 16 Jul 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF4 Partner (1 Dec 2001 to 6 Apr 2002)
• Douglas Brian Wade

  IRN DBW00005

  • Responsible for Insurance Distribution (1 Oct 2018 to 16 Jul 2019)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 23 Feb 2017)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF4 Partner (1 Dec 2001 to 16 Jul 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF10 Compliance Oversight (1 Dec 2001 to 23 Feb 2017)
• Karen Lynn Wade

  IRN KLR00004

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Client dealing (since 14 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 14 Apr 2020)
  • SMF27 Partner (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
  • CF21 Investment Adviser (11 Nov 2004 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (23 Dec 2003 to 11 Nov 2004)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
• Stephen Douglas Wade

  IRN SDW00014

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 14 Apr 2020)
  • [FCA CF] Functions requiring qualifications (since 14 Apr 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 21 Nov 2019)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF11 Money Laundering Reporting (15 Mar 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (15 Mar 2017 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)

No changes recorded yet.