DRR Financial Consultants Limited

• Principal Place of Business

  10 Millmead

  Byfleet

  West Byfleet

  Surrey

  KT14 7DA

  UNITED KINGDOM

  Phone

  +447415351525

• Complaints Contact

  10 Millmead

  Byfleet

  West Byfleet

  Surrey

  KT14 7DA

  UNITED KINGDOM

  Phone

  +447415351525

• P2P Lending Advice

  For Commercial, Professional, 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, 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

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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, 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

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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 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

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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.

• David Ronald Reed

  IRN DRR00007

  • 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 Mar 2021)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Dec 2019)
  • [PRA CF] Significant risk taker or Material risk taker (9 Dec 2019 to 10 Dec 2019)
  • Responsible for Insurance Mediation (23 Sep 2015 to 30 Sep 2018)
  • CF1 Director (23 Sep 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (23 Sep 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (23 Sep 2015 to 8 Dec 2019)
  • CF30 Customer (23 Sep 2015 to 8 Dec 2019)
• Graham Hopkin

  IRN GXH01216

  • 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)
  • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (since 7 Jun 2017)
  • CF1 Director (AR) (since 7 Jun 2017)
• Jonathan William Ashbee

  IRN JXA00504

  • Appointed representative dealing with clients for which they require qualification (30 Mar 2023 to 20 Sep 2023)
  • [FCA CF] Client dealing (30 Mar 2023 to 20 Sep 2023)
  • [FCA CF] Functions requiring qualifications (30 Mar 2023 to 20 Sep 2023)
  • CF1 Director (AR) (27 Mar 2023 to 20 Sep 2023)
  • CF30 Customer (27 Mar 2023 to 20 Sep 2023)
• Stephen Paul Johnson

  IRN SXJ00411

  • 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 12 May 2023)
  • [FCA CF] Functions requiring qualifications (since 12 May 2023)
  • Appointed representative dealing with clients for which they require qualification (since 12 May 2023)
  • CF1 Director (AR) (since 10 Apr 2023)
  • CF30 Customer (since 10 Apr 2023)

• SPJ Financial Consultants Limited

  FRN 993797 · Appointed 23 Mar 2023

• GMH Financial Consultants Ltd

  FRN 776290 · Appointed 10 Apr 2017

• JWA Financial Consultants Limited (no longer appointed)

  FRN 993796 · Appointed 23 Mar 2023 · Until 9 Oct 2023

No changes recorded yet.