DOUGLAS STEERS & COMPANY LIMITED

• Principal Place of Business

  Tavern House

  Station Road

  Ardleigh

  Colchester

  Essex

  CO7 7RS

  UNITED KINGDOM

  Phone

  +443455000909

  Web

  https://www.douglassteers.co.uk

• Complaints Contact

  Tavern House

  Station Road

  Ardleigh

  Colchester

  Essex

  CO7 7RS

  UNITED KINGDOM

  Phone

  +443455000909

• P2P Lending Advice

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

• Pension Transfer Advice

  For 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, 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, 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Credit Brokering

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Debt Advice

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  • · 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, 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, 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.

• Jake Luke Greenleaf

  IRN JXG00626

  • [FCA CF] Client dealing (22 Mar 2023 to 3 Feb 2026)
  • [FCA CF] Functions requiring qualifications (22 Mar 2023 to 3 Feb 2026)
• Jordan Max Durrant

  IRN JXD00508

  • [FCA CF] Functions requiring qualifications (1 Nov 2021 to 25 Mar 2025)
  • [FCA CF] Client dealing (1 Nov 2021 to 25 Mar 2025)
• Justin Oliver Davies

  IRN JXD00603

  • 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 9 Jan 2023)
  • [FCA CF] Client dealing (since 9 Jan 2023)
• Mark Donohue

  IRN MXD00933

  • 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
  • [FCA CF] Client dealing (since 26 Aug 2025)
  • [FCA CF] Functions requiring qualifications (since 26 Aug 2025)
• Matthew Paul Harvey Vivian

  IRN MXV00086

  • [FCA CF] Client dealing (7 Mar 2023 to 28 Oct 2025)
  • [FCA CF] Functions requiring qualifications (7 Mar 2023 to 28 Oct 2025)
• Michael Christopher Paul

  IRN MXP00873

  • 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
  • [FCA CF] Functions requiring qualifications (since 9 Mar 2026)
  • [FCA CF] Client dealing (since 9 Mar 2026)
• Montegue Sykes

  IRN MXS05518

  • 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 9 Mar 2026)
  • [FCA CF] Client dealing (since 9 Mar 2026)
• Neil John Summers

  IRN NXS00340

  • [FCA CF] Client dealing (1 Sep 2022 to 25 Mar 2025)
  • [FCA CF] Functions requiring qualifications (1 Sep 2022 to 25 Mar 2025)
• Niah Roger Elliston

  IRN NXE00053

  • [FCA CF] Client dealing (6 Dec 2023 to 28 Oct 2025)
  • [FCA CF] Functions requiring qualifications (6 Dec 2023 to 28 Oct 2025)
• Ornela Berbati

  IRN OXB00201

  • 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
  • [FCA CF] Functions requiring qualifications (since 26 Aug 2025)
  • [FCA CF] Client dealing (since 26 Aug 2025)

No changes recorded yet.