DRB ASSOCIATES LIMITED

• Principal Place of Business

  Pool House

  30 Dam Street

  Lichfield

  Staffordshire

  WS13 6AA

  UNITED KINGDOM

  Phone

  +441543441644

  Web

  https://www.poolhouseadvisers.co.uk

• Complaints Contact

  Pool House

  30 Dam Street

  Lichfield

  WS13 6AA

  UNITED KINGDOM

  Phone

  +441543441644

• 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 pension policies with a Guaranteed Annuity Rate.
  • · 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

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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.

• 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

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  • · The firm may not broker credit for the purpose of increasing the funds available for investment

• 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”.

• 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.

• Credit Score Services

• Alicia Paige Cheeseman

  IRN AXC01156

  • 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 1 Oct 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Oct 2023)
• Amy Barker

  IRN AXB11846

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jul 2020)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2020)
  • CF30 Customer (28 Feb 2019 to 8 Dec 2019)
• David Brian Collins

  IRN DBC00001

  • [FCA CF] Client dealing (9 Dec 2019 to 31 May 2020)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 May 2020)
  • CF30 Customer (1 Jul 2014 to 8 Dec 2019)
• David James Collins

  IRN DJC00102

  • CF30 Customer (1 Jul 2014 to 15 Feb 2018)
• David Robert Burns

  IRN DRB00053

  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF1 Director (AR) (9 Feb 2012 to 13 Jul 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (13 Feb 2006 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (13 Feb 2006 to 8 Aug 2019)
  • CF24 Pension Transfer Specialist (13 Feb 2006 to 31 Oct 2007)
  • Responsible for Insurance Mediation (13 Feb 2006 to 30 Sep 2018)
  • CF21 Investment Adviser (13 Feb 2006 to 31 Oct 2007)
  • CF1 Director (13 Feb 2006 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (13 Feb 2006 to 31 Mar 2009)
• Fiona Haigh

  IRN FXH15185

  • SMF3 Executive Director (since 28 Oct 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (7 Aug 2019 to 8 Dec 2019)
• Jonathan Paul Hovers

  IRN JPH00026

  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (14 Jun 2012 to 8 Dec 2019)
  • CF30 Customer (5 May 2010 to 8 Dec 2019)
• Julie Valerie Dunn

  IRN JVD01014

  • [FCA CF] Functions requiring qualifications (18 Nov 2020 to 12 Nov 2024)
  • CF30 Customer (29 Apr 2019 to 14 May 2019)
• Paul Philp

  IRN PXP00003

  • [FCA CF] Functions requiring qualifications (18 Nov 2020 to 13 Mar 2024)
  • [FCA CF] Client dealing (18 Nov 2020 to 13 Mar 2024)
  • CF30 Customer (30 Dec 2011 to 8 Dec 2019)
• Phoebe Kalsi

  IRN PXK01864

  • 21. Advising or arranging (bringing about) equity release transactions
  • 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
  • SMF3 Executive Director (since 3 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 18 Nov 2020)
  • [FCA CF] Client dealing (since 18 Nov 2020)
  • [FCA CF] Manager of certification employee (18 Nov 2020 to 3 Dec 2020)
  • CF30 Customer (7 Oct 2017 to 8 Dec 2019)

• Central Independent Financial Services Ltd (no longer appointed)

  FRN 179629 · Appointed 16 Nov 2011 · Until 10 Jan 2017

No changes recorded yet.