Gerald Mulhern

• Principal Place of Business

  575 Dumbarton Road

  Dalmuir

  Clydebank

  Dunbartonshire

  G81 4DL

  UNITED KINGDOM

  Phone

  +4401419511150

• Complaints Contact

  575 Dumbarton Road

  Dalmuir

  Clydebank

  Dunbartonshire

  G81 4DL

  UNITED KINGDOM

  Phone

  +4401419511150

• 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, 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.

• 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

  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.

• 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

• Stockbroking

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

• 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

  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.

• George Carlin

  IRN GXC01624

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Apr 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2024)
• Gerald Mulhern

  IRN GXM00042

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Sole trader dealing with clients for which they require qualification (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (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)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF7 Sole Trader (1 Dec 2001 to 31 Jan 2007)
• John Miller

  IRN JXM00107

  • CF30 Customer (1 Nov 2007 to 17 Nov 2008)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Paul Anthony La Combre

  IRN PAL00049

  • CF30 Customer (1 Nov 2007 to 23 Jan 2013)
  • CF21 Investment Adviser (18 Jul 2002 to 31 Oct 2007)

• Direct Mortgages (no longer appointed)

  FRN 441953 · Appointed 15 Nov 2005 · Until 23 Jan 2013

• D C Mortgages (no longer appointed)

  FRN 433398 · Appointed 2 Jun 2005 · Until 23 Jan 2013

No changes recorded yet.