INVEST SOUTHWEST LIMITED

• Principal Place of Business

  12 Hammet Street

  Taunton

  Somerset

  TA1 1RZ

  UNITED KINGDOM

  Phone

  +4401823353970

  Web

  https://www.investsouthwest.co.uk

• Complaints Contact

  12 Hammet Street

  Taunton

  Somerset

  TA1 1RZ

  UNITED KINGDOM

  Phone

  +4401823353970

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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.

• 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.

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

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

• 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

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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.

• Credit Score Services

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  • · This permission is limited to not carrying out credit repair services

• Adrian Michael Rooney

  IRN AMR00042

  • 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 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (21 May 2013 to 8 Dec 2019)
• Amie Giselle Johnston-Ward

  IRN AXJ00545

  • 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 30 Oct 2024)
  • [FCA CF] Functions requiring qualifications (since 30 Oct 2024)
• Barry Mullholland

  IRN BXM00013

  • CF30 Customer (3 Jan 2012 to 26 Apr 2013)
• Benson Van Der Elst

  IRN BXV00068

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 1 Feb 2024)
• Christopher Paul Watson

  IRN CPW00018

  • 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 (12 Mar 2012 to 8 Dec 2019)
• David Adam Penny

  IRN DAP00027

  • SMF3 Executive Director (9 Dec 2019 to 4 Oct 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 19 Dec 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Dec 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Dec 2023)
  • Responsible for Insurance Distribution (1 Oct 2018 to 4 Oct 2022)
  • Responsibility for MCD Intermediation (3 May 2016 to 4 Oct 2022)
  • CF11 Money Laundering Reporting (6 Aug 2012 to 12 Dec 2014)
  • Responsible for Insurance Mediation (27 Jul 2012 to 30 Sep 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (1 Aug 2007 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Aug 2007 to 12 Dec 2014)
  • CF8 Apportionment and Oversight (1 Aug 2007 to 31 Mar 2009)
  • CF21 Investment Adviser (1 Aug 2007 to 31 Oct 2007)
• David Donohoe

  IRN DXD00045

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Feb 2026)
  • [FCA CF] Client dealing (9 Dec 2019 to 19 Feb 2026)
  • CF30 Customer (17 Aug 2016 to 8 Dec 2019)
• David Redvers Guthrie Murray Milne

  IRN DMM01173

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 7. Giving personal recommendations on long-term care insurance contracts
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 14 Nov 2022)
  • [FCA CF] Functions requiring qualifications (since 14 Nov 2022)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 14 Nov 2022)
  • CF1 Director (AR) (2 Nov 2019 to 11 Nov 2022)
  • CF30 Customer (11 Jul 2014 to 11 Nov 2022)
• Diane Lesley Lewis

  IRN DLL01019

  • CF30 Customer (24 Mar 2011 to 28 Oct 2013)
• Giles Willilam Alexander Betts

  IRN GWB01061

  • CF30 Customer (29 Apr 2014 to 30 Apr 2016)

• Milne Standen Financial Planning Ltd (no longer appointed)

  FRN 916114 · Appointed 1 Nov 2019 · Until 11 Nov 2022

• Matthew Duncan Independent Financial Adviser Ltd (no longer appointed)

  FRN 830140 · Appointed 8 Jan 2019 · Until 10 Oct 2022

No changes recorded yet.