Dukes Independent Financial Advisers Ltd

• Principal Place of Business

  145-147 Sparrows Herne

  -

  Bushey

  Hertfordshire

  WD23 1AQ

  UNITED KINGDOM

  Phone

  +442038242242

  Web

  https://www.dukesifa.co.uk

• Complaints Contact

  145-147 Sparrows Herne

  Bushey

  Hertfordshire

  WD23 1AQ

  UNITED KINGDOM

  Phone

  +4402038242242

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• 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

• 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

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

  Show 1 limitation Hide limitations

  • · The firm may not broker credit for the purpose of increasing the funds available for investment.

• Debt Advice

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  • · This permission is limited to debt counselling which is provided in connection with investment and mortgage advice.
  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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.

• Basic Pension Advice

  For Retail (Investment), Stakeholder products

• Adrian Duke-Cohan

  IRN AXD00029

  • 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] Client dealing (since 8 Sep 2020)
  • [FCA CF] Functions requiring qualifications (since 8 Sep 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • [FCA CF] Significant management (8 Sep 2020 to 22 Feb 2021)
  • CF10 Compliance Oversight (20 Jul 2012 to 8 Dec 2019)
  • Responsible for Insurance Mediation (20 Jul 2012 to 30 Sep 2018)
  • CF1 Director (20 Jul 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (20 Jul 2012 to 8 Dec 2019)
  • CF30 Customer (20 Jul 2012 to 8 Dec 2019)
• David Nathan Margo

  IRN DCM01125

  • [FCA CF] Functions requiring qualifications (8 Sep 2020 to 11 Aug 2021)
  • [FCA CF] Client dealing (8 Sep 2020 to 11 Aug 2021)
  • CF30 Customer (14 Jun 2018 to 8 Dec 2019)
• Victoria Mammon

  IRN VXM00001

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • [FCA CF] Functions requiring qualifications (since 8 Sep 2020)

No changes recorded yet.