Dunhams Financial Planning Limited

Date authorised
1 April 2013
Companies House
02243612
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    11 Warwick Road
    Old Trafford
    Manchester
    Lancashire
    M16 0QQ
    UNITED KINGDOM
    Phone
    +441618728671
    Web
    https://www.dunhamsfinancial.co.uk

  • Complaints Contact

    11 Warwick Road
    Old Trafford
    Manchester
    Lancashire
    M16 0QQ
    UNITED KINGDOM
    Phone
    +441618728671

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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
    • · 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.
    • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

  • 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
    • · 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

    Show 1 limitation
    • · 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
    • · 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.

  • Credit Brokering

  • Debt Advice

    Show 1 limitation
    • · 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”.

  • 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
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Marijke Mazure

    IRN MJH00228

    • CF30 Customer (1 Nov 2007 to 28 Apr 2011)
    • CF21 Investment Adviser (9 Mar 2006 to 31 Oct 2007)
  • Nigel Spencer Phipps

    IRN NSP00013

    • CF24 Pension Transfer Specialist (25 Nov 2003 to 31 Dec 2005)
    • CF21 Investment Adviser (25 Nov 2003 to 31 Dec 2005)
    • CF11 Money Laundering Reporting (25 Nov 2003 to 1 Aug 2004)
    • CF1 Director (25 Nov 2003 to 31 Dec 2005)
  • Paul Gerard O'Brien

    IRN PGO01012

    • 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] Client dealing (since 19 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 19 Mar 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (5 Aug 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (25 Nov 2003 to 27 Apr 2009)
    • CF10 Compliance Oversight (25 Nov 2003 to 8 Dec 2019)
    • CF1 Director (25 Nov 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (25 Nov 2003 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (25 Nov 2003 to 31 Oct 2007)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.