Dukes Financial Planning LLP

• Principal Place of Business

  38 Tintern Avenue

  Westcliff-on-Sea

  Essex

  SS0 9QJ

  UNITED KINGDOM

  Phone

  +4401702344909

  Web

  https://www.dukesfinancialplanning.co.uk

• Complaints Contact

  38 Tintern Avenue

  Westcliff-on-Sea

  Essex

  SS0 9QJ

  UNITED KINGDOM

  Phone

  +4401702344909

• 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: 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

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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, 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.

• 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

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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 Mark Norman

  IRN AXN01696

  • 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)
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 21 Feb 2023)
  • SMF27 Partner (since 21 Feb 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 Apr 2023)
  • CF30 Customer (23 Feb 2016 to 8 Dec 2019)
• Katrina Jane Duke

  IRN KJD01073

  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 5 Apr 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 5 Apr 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Apr 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 5 Apr 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • Responsibility for MCD Intermediation (21 Mar 2016 to 24 Apr 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (2 Apr 2007 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (2 Apr 2007 to 31 Mar 2009)
  • Responsible for Insurance Mediation (2 Apr 2007 to 30 Sep 2018)
  • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (2 Apr 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (2 Apr 2007 to 8 Dec 2019)
• Ray Duke

  IRN RXD01385

  • [FCA CF] Manager of certification employee (since 1 Mar 2025)
  • SMF27 Partner (9 Dec 2019 to 1 Mar 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Mar 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Mar 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 24 Apr 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Dec 2019)
  • CF30 Customer (8 Jan 2010 to 8 Dec 2019)
  • CF4 Partner (2 Apr 2007 to 8 Dec 2019)
• Taylor Ray Duke

  IRN TXD14593

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
  • SMF27 Partner (since 24 Feb 2023)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (5 Apr 2023 to 26 Mar 2024)
  • CF30 Customer (15 Nov 2019 to 8 Dec 2019)

No changes recorded yet.