Greaves West & Ayre

• Principal Place of Business

  17 Walkergate

  Berwick-upon-Tweed

  Northumberland

  TD15 1DJ

  UNITED KINGDOM

  Phone

  +441289306688

  Web

  https://greaveswestayre.co.uk

• Complaints Contact

  17 Walkergate

  Berwick-upon-Tweed

  Northumberland

  TD15 1DJ

  UNITED KINGDOM

  Phone

  +441289306688

• P2P Lending Advice

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

• Pension Transfer Advice

  For Eligible Counterparty, 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

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  • · 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, Eligible Counterparty, 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

• Authorised to Operate

• Arranges Investments

  For Commercial, Eligible Counterparty, 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

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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

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  • · Carrying this activity in the course of corporate finance business or listing of securities for professional clients and eligible counterparties.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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

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  • · Carrying this activity in the course of corporate finance business or listing of securities, but the firm must not act as a market maker.

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Consumer Loans

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  • · Limited to lending that is in connection with fees for services provided in relation to regular premium products
  • · Limited to lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement

• Loan Servicing

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, 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

• Rebecca Jane Lawson

  IRN RXL00010

  • [FCA CF] Functions requiring qualifications (11 Aug 2022 to 11 Sep 2025)
  • [FCA CF] Client dealing (11 Aug 2022 to 11 Sep 2025)
• Richard John Ayre

  IRN RXA23739

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 6 Feb 2020)
• Robert Henry Dalgleish

  IRN RHD01023

  • CF30 Customer (1 Nov 2007 to 22 Jan 2013)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 1 Dec 2001)
  • CF4 Partner (1 Dec 2001 to 17 Nov 2015)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Roseanne Marie Bennett

  IRN RMB01216

  • CF4 Partner (15 Oct 2009 to 17 Nov 2015)
• Stuart Alastair Ferguson Faed

  IRN SAF01095

  • 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)
  • SMF27 Partner (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Feb 2020)
  • CF10 Compliance Oversight (5 Sep 2013 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF22 Investment Adviser (Trainee) (10 Sep 2007 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (12 Apr 2005 to 8 Dec 2019)
  • CF4 Partner (12 Apr 2005 to 8 Dec 2019)
• Stuart William Allister

  IRN SWA01012

  • SMF27 Partner (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 22 Jan 2013)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 11 Jul 2013)
  • CF10 Compliance Oversight (1 Dec 2001 to 11 Jul 2013)
  • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
• Thomas Benjamin Edmonds

  IRN TBE01010

  • CF30 Customer (11 Aug 2018 to 8 Dec 2019)
• Toby Douglas

  IRN TXD00301

  • 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] Functions requiring qualifications (since 9 Oct 2024)
  • [FCA CF] Client dealing (since 9 Oct 2024)

No changes recorded yet.