J & E Davy (UK) Limited

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FRN: 172140
Date authorised: 1 April 2013
Companies House: NI028952
Last scraped: 3 weeks ago

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Addresses

The contact details this firm has registered with the FCA.

Principal Place of Business

Donegall House

7 Donegall Square North

Belfast

County Antrim

BT1 5GB

UNITED KINGDOM

Phone

+442890310655

Web

https://www.davyuk.co.uk
Complaints Contact

Davy

Donegall House

7 Donegall Square North

Belfast

Northern Ireland

BT1 5GB

UNITED KINGDOM

Phone

+442890310655

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

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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- · 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, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, 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.
Arranges Asset Safekeeping

For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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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- · 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.
Insurance Admin

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

For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), 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.
Trades With You Directly

For Eligible Counterparty, Professional, Certificates representing certain security, Rights to or interests in investments (Security), Share, Unit, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Debt Advice
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- · This permission is limited to debt counselling with no debt management activity
Investment Setup

For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Non-investment insurance contracts, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments, 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.
Manages Your Portfolio

For Eligible Counterparty, Professional, Retail (Investment), Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

Adrian George Collins
IRN AGC01068
- [FCA CF] Client dealing (1 Jul 2022 to 30 Sep 2023)
Alan James Smyth
IRN AJS00043
- CF30 Customer (1 Nov 2007 to 31 Dec 2012)
- CF1 Director (1 Dec 2001 to 31 Jul 2009)
- CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF10 Compliance Oversight (1 Dec 2001 to 31 Jul 2009)
Alan William Andrew Boyd
IRN AWB01073
- CF30 Customer (1 Nov 2007 to 4 Mar 2011)
- CF22 Investment Adviser (Trainee) (17 Sep 2007 to 31 Oct 2007)
Alison Dean
IRN ASM01183
- CF30 Customer (1 Nov 2017 to 21 Jun 2019)
Andrew Arnott
IRN AXA19699
- CF30 Customer (31 Oct 2019 to 8 Dec 2019)
Andrew Campbell
IRN AXC02014
- Responsible for Insurance Distribution (since 15 Jan 2021)
- SMF1 Chief Executive (since 23 Jan 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- CF30 Customer (4 Dec 2017 to 8 Dec 2019)
- CF1 Director (11 May 2016 to 8 Dec 2019)
Andrew Paul Boyd McMullan
IRN APM00013
- CF11 Money Laundering Reporting (31 Oct 2012 to 17 May 2016)
- CF1 Director (4 Jan 2010 to 17 May 2016)
- CF10 Compliance Oversight (4 Nov 2009 to 17 May 2016)
- CF30 Customer (1 Nov 2007 to 17 May 2016)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Barry George Forde
IRN BGF00004
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 30 Dec 2004)
Benjamin Alexander Francis Banerji
IRN BXB13215
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (12 Apr 2019 to 8 Dec 2019)
Beverley Anne Herron
IRN BAH01088
- CF30 Customer (1 Nov 2017 to 8 Dec 2019)

Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

PFC Pension Administration Ltd (no longer appointed)
FRN 610679 · Appointed 21 Nov 2013 · Until 29 Jan 2016
PFC 2 Ltd (no longer appointed)
FRN 610533 · Appointed 19 Nov 2013 · Until 29 Jan 2016
PFC Professional Partners LLP (no longer appointed)
FRN 531830 · Appointed 17 Sep 2010 · Until 21 Apr 2015

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.

What it all means

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.