INNES REID INVESTMENTS LIMITED

• Principal Place of Business

  Dee House

  67 Hoole Road

  Chester

  Cheshire

  CH2 3NJ

  UNITED KINGDOM

  Phone

  +4401244347583

  Web

  https://innesreid.co.uk

• Complaints Contact

  Dee House

  67 Hoole Road

  Chester

  Cheshire

  CH2 3NJ

  UNITED KINGDOM

  Phone

  +4401244347583

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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

  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.

• Equity Release Advice

  For Customer, Home reversion plans

• 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 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

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• 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 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

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

• Debt Advice

• 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, 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.

• James Peter Keane

  IRN JPK00001

  • 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)
  • 11. Pension transfer specialist
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (29 Jun 2005 to 31 Oct 2007)
• Lynden Michael Hinks-Edwards

  IRN LMH01103

  • 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
  • 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 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Mar 2018 to 8 Dec 2019)
• Mark Innes Reidford

  IRN MIR00003

  • 11. Pension transfer specialist
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 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)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (1 Jan 2003 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jan 2003 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Jan 2003 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Jan 2003 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Jan 2003 to 31 Mar 2009)
• Paul Anthony Nichols

  IRN PAN00001

  • CF30 Customer (21 Oct 2019 to 8 Dec 2019)
• Richard Stanley Pierce

  IRN RSP01100

  • CF30 Customer (1 Jan 2015 to 5 Aug 2015)
• Sean Andrew Heggarty

  IRN SXH20668

  • 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 6 Nov 2023)
  • [FCA CF] Client dealing (since 6 Nov 2023)
• Sharon Mary Rogers

  IRN SMR01191

  • CF30 Customer (13 Mar 2017 to 15 Oct 2018)
• Stephen Davies

  IRN DXS01907

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Oct 2020)
  • CF30 Customer (1 Sep 2015 to 8 Dec 2019)
• Thomas Andrew Wilcox-Jones

  IRN TAW01078

  • CF30 Customer (5 Feb 2009 to 30 Jul 2010)
• Thomas Arran Lowman

  IRN TAL01029

  • CF30 Customer (1 Nov 2007 to 6 Aug 2012)
  • CF22 Investment Adviser (Trainee) (27 Jul 2007 to 31 Oct 2007)

No changes recorded yet.