D.W. MOORE (FAKENHAM) LIMITED

Date authorised
1 April 2013
Companies House
01291294
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    13A Fish Hill
    Holt
    Norfolk
    NR25 6HN
    UNITED KINGDOM
    Phone
    +4401263713441

  • Complaints Contact

    13A Fish Hill
    Holt
    Norfolk
    NR25 6HN
    UNITED KINGDOM
    Phone
    +4401263713441

What this firm is allowed to do

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

  • Investment Advice (no pensions)

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

  • 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, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Insurance Admin

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

  • Credit Brokering

  • Stockbroking

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

  • Investment Setup

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

Approved individuals

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

  • David John Peek

    IRN DJP00094

    • CF29 Significant management (1 Nov 2007 to 15 Aug 2017)
    • CF28 Systems and controls (1 Nov 2007 to 15 Aug 2017)
    • CF1 Director (14 Jan 2005 to 30 Jul 2017)
    • CF11 Money Laundering Reporting (14 Jan 2005 to 15 Aug 2017)
    • CF13 Finance (14 Jan 2005 to 31 Oct 2007)
    • CF14 Risk Assessment (14 Jan 2005 to 31 Oct 2007)
    • CF15 Internal Audit (14 Jan 2005 to 31 Oct 2007)
    • CF17 Significant Mgt (Other Business Operations) (14 Jan 2005 to 31 Oct 2007)
    • CF19 Significant Mgt (Financial Resources) (14 Jan 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Jul 2017)
  • David William Moore

    IRN DWM00040

    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF29 Significant management (1 Nov 2007 to 8 Dec 2019)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (14 Jan 2005 to 8 Dec 2019)
    • CF13 Finance (14 Jan 2005 to 31 Oct 2007)
    • CF14 Risk Assessment (14 Jan 2005 to 31 Oct 2007)
    • CF15 Internal Audit (14 Jan 2005 to 31 Oct 2007)
    • CF17 Significant Mgt (Other Business Operations) (14 Jan 2005 to 31 Oct 2007)
    • CF19 Significant Mgt (Financial Resources) (14 Jan 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (14 Jan 2005 to 31 Mar 2009)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (14 Jan 2005 to 8 Dec 2019)
  • Dominic Piers Brady

    IRN DPB01131

    • CF4 Partner (AR) (30 Jun 2014 to 2 Jan 2015)
  • Lynda Ann Cooper

    IRN LAC01090

    • CF4 Partner (AR) (30 May 2014 to 2 Jan 2015)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

No changes recorded yet.