KD Wright Financial Services Limited

Date authorised
1 April 2013
Companies House
03909177
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    K D Wright Financial Services Ltd
    Centurion House
    136-142 London Road
    St. Albans
    Hertfordshire
    AL1 1PQ
    UNITED KINGDOM
    Phone
    +4401727852299
    Web
    https://www.kdw.co.uk

  • Complaints Contact

    K D Wright Financial Services Ltd
    Centurion House
    136-142 London Road
    St. Albans
    Hertfordshire
    AL1 1PQ
    UNITED KINGDOM
    Phone
    +4401727852299

What this firm is allowed to do

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

  • 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
    • · 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.

  • 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
    • · 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

    Show 1 limitation
    • · 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
    • · 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

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management activity

  • Equity Release Setup

    For Customer, Home reversion plans

  • 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
    • · 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.

  • Basic Pension Advice

    For Retail (Investment), Stakeholder products

Approved individuals

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

  • David Marcus Phillips Maisey

    IRN DMM00028

    • 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
    • Responsible for Insurance Distribution (since 6 Mar 2020)
    • Responsibility for MCD Intermediation (since 6 Mar 2020)
    • [FCA CF] Functions requiring qualifications (since 19 Feb 2020)
    • [FCA CF] Manager of certification employee (since 19 Feb 2020)
    • [FCA CF] Client dealing (since 19 Feb 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Significant management (19 Feb 2020 to 6 May 2021)
    • [FCA CF] CASS oversight function (19 Feb 2020 to 6 May 2021)
    • [PRA CF] Key function holder (19 Feb 2020 to 6 May 2021)
    • CF11 Money Laundering Reporting (11 Oct 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Jan 2010 to 8 Dec 2019)
    • CF30 Customer (29 Jan 2010 to 8 Dec 2019)
    • CF1 Director (29 Jan 2010 to 8 Dec 2019)
  • Denise Payne

    IRN DXP01639

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 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 19 Feb 2020)
    • [FCA CF] Functions requiring qualifications (since 19 Feb 2020)
    • CF30 Customer (29 Jan 2010 to 8 Dec 2019)
  • Domenico Fabio Basilea

    IRN DFB01053

    • CF30 Customer (12 Apr 2010 to 17 Nov 2011)
  • Elliott James Wilson

    IRN EJW01108

    • CF30 Customer (27 Nov 2015 to 26 Oct 2016)
  • Gary Lee Cretton

    IRN GLC00005

    • 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
    • 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)
    • 11. Pension transfer specialist
    • Responsibility for MCD Intermediation (since 17 Nov 2020)
    • SMF3 Executive Director (since 17 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 19 Feb 2020)
    • [FCA CF] Client dealing (since 19 Feb 2020)
    • CF30 Customer (9 May 2011 to 8 Dec 2019)
  • Gavin David Ross

    IRN GDR00022

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 19 Feb 2020)
  • Helen Gilks

    IRN HXG01247

    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (7 Jan 2015 to 8 Dec 2019)
  • Jeremy Stevenson

    IRN JXS32423

    • [FCA CF] Functions requiring qualifications (19 Feb 2020 to 3 Feb 2021)
  • John William Hurley

    IRN JWH01106

    • CF30 Customer (29 Jan 2010 to 30 Sep 2010)
  • Jonathan Paul Philips Maisey

    IRN JPM01261

    • CF30 Customer (3 Jul 2015 to 11 Jul 2017)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

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

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