J & E Davy (UK) Limited

• 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

• 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.

• Philip John Samuel Smyth

  IRN PJS00055

  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Material risk taker (since 16 Dec 2020)
  • [FCA CF] Significant management (since 16 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (12 Feb 2019 to 8 Dec 2019)
• Robin Scott Wilson

  IRN RSW00025

  • CF30 Customer (3 Dec 2008 to 31 Dec 2012)
• Roisin Maria Carpendale

  IRN RXC00516

  • [FCA CF] Functions requiring qualifications (20 Apr 2023 to 27 May 2025)
  • [FCA CF] Client dealing (23 Jun 2022 to 27 May 2025)
• Sara Hale

  IRN SNC01027

  • [FCA CF] Material risk taker (20 Dec 2024 to 24 Apr 2025)
  • [FCA CF] Client dealing (3 Aug 2023 to 24 Apr 2025)
  • [FCA CF] Manager of certification employee (3 Aug 2023 to 24 Apr 2025)
• Sebastien Alexander Maurin

  IRN SAM01142

  • [FCA CF] Client dealing (1 Jul 2022 to 30 Sep 2023)
• Shauna Ellis

  IRN SXE00119

  • [FCA CF] Manager of certification employee (since 10 Mar 2025)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
• Siobhan Maire Gaunt

  IRN SXM02059

  • [FCA CF] Client dealing (since 9 Apr 2024)
• Stephen Church

  IRN SXC19310

  • CF30 Customer (5 Nov 2019 to 8 Dec 2019)
• Stephen Crawford Kane

  IRN SCK01048

  • 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 2017 to 8 Dec 2019)
• Stephen Felle

  IRN SXF01375

  • CF30 Customer (7 Dec 2017 to 4 Jan 2019)
  • CF3 Chief Executive (11 May 2016 to 28 Nov 2019)

• 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

No changes recorded yet.