D.S. HOWELL FINANCIAL SERVICES LIMITED

• Principal Place of Business

  1st Floor, Unit 3B

  Columbus House

  Greenmeadow Springs Business Park

  Cardiff

  CF15 7NE

  UNITED KINGDOM

  Phone

  +4402920546544

  Web

  https://www.dshowellfs.co.uk

• Complaints Contact

  1st Floor, Unit 3B

  Columbus House

  Greenmeadow Springs Business Park

  Cardiff

  CF15 7NE

  UNITED KINGDOM

  Phone

  +4402920546544

• 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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  • · 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.
  • · 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 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.

• Buy-to-Let Start Date

• Buy-to-Let End Date

• Buy-to-Let Status

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• 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.

• Adam Shaun Lynch

  IRN AXL00612

  • [FCA CF] Functions requiring qualifications (28 Sep 2023 to 5 Jan 2026)
  • [FCA CF] Client dealing (28 Sep 2023 to 5 Jan 2026)
• Alexander Jonathan O'Neill

  IRN AJO01085

  • CF30 Customer (25 Aug 2017 to 2 May 2018)
• Arron Lewis Sharkey

  IRN ALS01144

  • 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)
  • 9A. Advising on P2P agreements
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Jan 2020)
  • SMF16 Compliance Oversight (since 10 Jan 2020)
  • SMF3 Executive Director (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)
  • Responsible for Insurance Mediation (11 Oct 2017 to 30 Sep 2018)
  • Responsibility for MCD Intermediation (11 Oct 2017 to 5 Jan 2018)
  • CF30 Customer (14 Jul 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (14 Jul 2017 to 19 Dec 2018)
  • CF10 Compliance Oversight (14 Jul 2017 to 19 Dec 2018)
  • CF1 Director (14 Jul 2017 to 8 Dec 2019)
• Benjamin Andrew Parker

  IRN BAP01044

  • CF30 Customer (16 Oct 2018 to 22 Feb 2019)
• David Royston Lewis

  IRN DRL00018

  • Responsibility for MCD Intermediation (21 Mar 2016 to 12 Sep 2017)
  • CF30 Customer (1 Nov 2007 to 15 Mar 2019)
  • CF1 Director (19 Apr 2005 to 12 Sep 2017)
  • CF11 Money Laundering Reporting (19 Apr 2005 to 12 Sep 2017)
  • CF8 Apportionment and Oversight (19 Apr 2005 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (19 Apr 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (19 Apr 2005 to 31 Oct 2007)
  • Responsible for Insurance Mediation (19 Apr 2005 to 12 Sep 2017)
  • CF10 Compliance Oversight (19 Apr 2005 to 12 Sep 2017)
• Eiman Mahdavi

  IRN EXM00527

  • 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 28 Nov 2025)
  • [FCA CF] Client dealing (since 28 Nov 2025)
• Emily Cuming

  IRN EXC01601

  • CF30 Customer (22 Nov 2017 to 8 Dec 2019)
• Georgia Stockford

  IRN GXS02689

  • CF10 Compliance Oversight (16 Aug 2018 to 5 Jun 2019)
  • CF11 Money Laundering Reporting (16 Aug 2018 to 5 Jun 2019)
• Laurence Nicholas Shaun Murphy

  IRN LNM01026

  • CF30 Customer (25 Sep 2017 to 13 Nov 2017)
• Luke James Cleary

  IRN LXC00338

  • 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 28 Feb 2022)
  • [FCA CF] Client dealing (since 28 Feb 2022)

No changes recorded yet.