Henry F Dodds Wealth Management Limited

• Principal Place of Business

  3 St James Street

  Newcastle Upon Tyne

  NE1 4NF

  UNITED KINGDOM

  Phone

  +4401912610021

  Web

  https://www.hfdoddswealth.co.uk

• Complaints Contact

  3 St James Street

  Newcastle Upon Tyne

  NE1 4NF

  UNITED KINGDOM

  Phone

  +441912610021

• P2P Lending Advice

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

• 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

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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 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.

• 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

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  • · 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

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  • · 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

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  • · 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.

• 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 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.

• Ian Henderson

  IRN IXH00010

  • SMF3 Executive Director (9 Dec 2019 to 1 Jul 2025)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Ian Thomas Scott Carswell

  IRN ITC01010

  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Dec 2020)
  • Responsible for Insurance Distribution (since 4 Dec 2020)
  • SMF16 Compliance Oversight (since 4 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (29 Dec 2017 to 8 Dec 2019)
  • CF30 Customer (16 May 2014 to 8 Dec 2019)
• John Gallaugher

  IRN JXG00041

  • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2005)
• John Henderson

  IRN JXH00027

  • CF30 Customer (1 Nov 2007 to 24 Jul 2009)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 24 Jul 2009)
• Keith Murray Main

  IRN KMM00005

  • SMF16 Compliance Oversight (9 Dec 2019 to 20 Oct 2020)
  • SMF3 Executive Director (9 Dec 2019 to 28 Feb 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Oct 2020)
  • Responsible for Insurance Distribution (1 Oct 2018 to 20 Oct 2020)
  • CF30 Customer (1 Nov 2007 to 24 May 2010)
  • 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)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
• Nicholas John Humble

  IRN NJH00034

  • 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] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (10 Aug 2006 to 31 Oct 2007)
  • CF21 Investment Adviser (21 Jul 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (10 Oct 2005 to 21 Jul 2006)
• Paul Dempsey

  IRN PXD00033

  • CF30 Customer (15 Mar 2010 to 31 Dec 2012)

No changes recorded yet.