DTE Risk and Financial Management Limited

• Principal Place of Business

  The Exchange

  5 Bank Street

  Bury

  Lancashire

  BL9 0DN

  UNITED KINGDOM

  Phone

  +4401617671400

  Web

  https://www.dtefinancialplanning.com

• Complaints Contact

  The Exchange

  5 Bank Street

  Bury

  Lancashire

  BL9 0DN

  UNITED KINGDOM

  Phone

  +4401617671400

• 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

  Show 2 limitations Hide limitations

  • · 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, 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 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

• Debt Advice

  Show 2 limitations Hide limitations

  • · This permission is limited to debt counselling with no debt management activity
  • · This permission is limited to debt counselling which is provided in connection with investment advice, pensions advice, insurance advice, buy to let mortgages and remortgages.

• 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.

• Alan McCann

  IRN AXM03419

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 15 May 2024)
  • CF11 Money Laundering Reporting (16 Oct 2012 to 8 Dec 2019)
• Alan Reid

  IRN AXR00126

  • CF24 Pension Transfer Specialist (26 May 2006 to 14 Sep 2007)
  • CF21 Investment Adviser (26 May 2006 to 14 Sep 2007)
  • CF22 Investment Adviser (Trainee) (6 Dec 2004 to 26 May 2006)
• Andrew Cawson

  IRN AXC00039

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Dec 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 8 Dec 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (24 Sep 2007 to 31 Oct 2007)
  • CF21 Investment Adviser (10 Sep 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (9 Jul 2007 to 10 Sep 2007)
• Anthony John Taylor

  IRN ART01062

  • CF11 Money Laundering Reporting (2 Jun 2008 to 31 Aug 2012)
• Christopher Foster

  IRN CXF00018

  • CF30 Customer (6 May 2009 to 1 Feb 2013)
• David Peter Lamb

  IRN DPL01032

  • [FCA CF] Client dealing (9 Dec 2019 to 19 Apr 2024)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Apr 2024)
  • CF30 Customer (1 Jul 2017 to 8 Dec 2019)
• Harold Joseph Glover

  IRN HJG00012

  • CF22 Investment Adviser (Trainee) (7 Apr 2003 to 30 Apr 2004)
• Janina Anne Seddon

  IRN JAS01321

  • CF22 Investment Adviser (Trainee) (18 Feb 2004 to 29 Apr 2004)
• John Anthony Natlacen

  IRN JAN00004

  • CF21 Investment Adviser (1 Dec 2001 to 6 Aug 2002)
• John David Davenport

  IRN JDD00002

  • 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 22 Jan 2025)
  • [FCA CF] Client dealing (since 22 Jan 2025)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 1 Dec 2006)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Dec 2006)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Dec 2006)
  • CF1 Director (1 Dec 2001 to 1 Dec 2006)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Dec 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2006)

• William Hudson (no longer appointed)

  FRN 442326 · Appointed 23 Nov 2005 · Until 29 Mar 2009

No changes recorded yet.