Dumnonia Financial Services Limited

• Principal Place of Business

  52A High Street

  Westbury on Trym

  Bristol

  Bristol

  BS9 3DZ

  UNITED KINGDOM

  Phone

  +4401179829484

• Complaints Contact

  52A High Street

  Westbury on Trym

  Bristol

  Bristol

  BS9 3DZ

  UNITED KINGDOM

  Phone

  +4401179829484

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Professional, Retail (Investment)

• 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, Unit, Warrant

• 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, Unit, Warrant

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• 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, Unit, Warrant

• Ian Harry Manby Flower

  IRN IHF00001

  • CF30 Customer (1 Nov 2007 to 20 Dec 2007)
  • CF21 Investment Adviser (7 Mar 2006 to 31 Oct 2007)
• Nigel John King

  IRN NJK01040

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 5 Nov 2019)
  • CF21 Investment Adviser (25 Oct 2006 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (29 Mar 2006 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (29 Mar 2006 to 25 Oct 2006)
  • CF10 Compliance Oversight (20 Jan 2006 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (31 Oct 2004 to 8 Dec 2019)
  • CF13 Finance (31 Oct 2004 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (31 Oct 2004 to 31 Mar 2009)

No changes recorded yet.