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

  Show 1 limitation Hide limitations

  • · 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.

• John Howard Dixon

  IRN JHD00010

  • CF30 Customer (1 Nov 2007 to 27 Mar 2009)
  • CF22 Investment Adviser (Trainee) (4 Jun 2007 to 31 Oct 2007)
• John Turner

  IRN JXT01259

  • CF1 Director (15 May 2008 to 30 May 2012)
  • CF10 Compliance Oversight (15 May 2008 to 30 Sep 2011)
• Keith Rodney Train

  IRN KRT00001

  • CF1 Director (1 Dec 2001 to 2 May 2008)
• Matthew Nicholas Beckley

  IRN MXB01684

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 10 May 2024)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF10 Compliance Oversight (13 Oct 2011 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2008 to 31 Mar 2009)
  • CF1 Director (1 Dec 2008 to 8 Dec 2019)
  • Responsible for Insurance Mediation (1 Dec 2008 to 30 Sep 2018)
  • CF28 Systems and controls (1 Dec 2008 to 30 Sep 2011)
• Mervyn John MacDonald

  IRN MJM00012

  • CF11 Money Laundering Reporting (7 Dec 2006 to 14 May 2008)
  • CF10 Compliance Oversight (7 Dec 2006 to 14 May 2008)
  • CF1 Director (1 Dec 2001 to 14 May 2008)
• Michael John Hughes

  IRN MJH00028

  • CF21 Investment Adviser (26 May 2006 to 13 Apr 2007)
  • CF24 Pension Transfer Specialist (26 May 2006 to 13 Apr 2007)
  • CF22 Investment Adviser (Trainee) (11 Mar 2005 to 26 May 2006)
• Michael John McNulty

  IRN MJM01327

  • CF28 Systems and controls (1 Nov 2007 to 15 Dec 2008)
  • Responsible for Insurance Mediation (14 Jan 2005 to 15 Dec 2008)
  • CF1 Director (23 Nov 2004 to 15 Dec 2008)
  • CF13 Finance (23 Nov 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (23 Nov 2004 to 15 Dec 2008)
  • CF10 Compliance Oversight (23 Nov 2004 to 4 Dec 2006)
• Neil John Martin

  IRN NJM00039

  • CF24 Pension Transfer Specialist (10 May 2006 to 19 Apr 2007)
  • CF21 Investment Adviser (10 May 2006 to 19 Apr 2007)
  • CF22 Investment Adviser (Trainee) (9 May 2005 to 10 May 2006)
• Nicholas David James Thompson

  IRN NDT01031

  • CF22 Investment Adviser (Trainee) (30 Aug 2002 to 18 Oct 2004)
• Nicholas James Fail

  IRN NJF01064

  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (19 May 2008 to 8 Dec 2019)

• William Hudson (no longer appointed)

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

No changes recorded yet.