Kerr Henderson (Financial Services) Limited

• Principal Place of Business

  Kerr Henderson Financial Services

  16 Wellington Park

  Belfast

  Northern Ireland

  BT9 6DJ

  UNITED KINGDOM

  Phone

  +442890661931

  Web

  https://www.kerrhenderson.com

• Complaints Contact

  Kerr Henderson Financial Services

  16 Wellington Park

  Belfast

  Northern Ireland

  BT9 6DJ

  UNITED KINGDOM

  Phone

  +442890661931

• 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.

• 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.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• 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.

• Kevin Richard Wesbroom

  IRN KXW01216

  • CF1 Director (AR) (16 Jan 2004 to 3 Jul 2009)
• Mark Lee Hathaway

  IRN MLH01079

  • CF30 Customer (1 Nov 2007 to 27 Feb 2009)
  • CF22 Investment Adviser (Trainee) (2 Jul 2007 to 31 Oct 2007)
• Mark McNeill

  IRN MXM00785

  • 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 22 Feb 2022)
  • [FCA CF] Client dealing (since 22 Feb 2022)
• Martin Robert Charles Huey

  IRN MRH00065

  • CF30 Customer (12 Feb 2018 to 31 Mar 2019)
• Martyn David Stogden

  IRN MXS01627

  • CF22 Investment Adviser (Trainee) (29 Mar 2006 to 24 Aug 2007)
• Melanie Louise Jones

  IRN MLB01074

  • CF30 Customer (1 Nov 2007 to 24 Oct 2008)
  • CF21 Investment Adviser (21 Jun 2005 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (27 Sep 2004 to 21 Jun 2005)
• Mervyn William Russell Dolan

  IRN MWD01058

  • CF1 Director (AR) (16 Nov 2015 to 31 Mar 2019)
• Michael Edward Joseph Slevin

  IRN MES00008

  • CF30 Customer (1 Nov 2007 to 21 Mar 2011)
  • CF1 Director (AR) (27 Nov 2003 to 21 Mar 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 1 Oct 2010)
• Michael Kerr

  IRN MXK00024

  • SMF9 Chair of the Governing Body (6 Apr 2020 to 19 Feb 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 27 Sep 2021)
  • SMF3 Executive Director (9 Dec 2019 to 27 Sep 2021)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Sep 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 27 Sep 2021)
  • Responsible for Insurance Distribution (1 Oct 2018 to 19 Feb 2021)
  • CF28 Systems and controls (20 Jul 2011 to 31 Jan 2012)
  • CF30 Customer (1 Nov 2007 to 27 Sep 2021)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF1 Director (AR) (27 Nov 2003 to 30 Oct 2020)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 1 Mar 2003)
  • CF10 Compliance Oversight (1 Dec 2001 to 1 Mar 2003)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Michael Peter Hardy

  IRN MPH00049

  • CF30 Customer (17 Dec 2007 to 21 Mar 2011)

• Incorporate Benefits LLP (no longer appointed)

  FRN 772314 · Appointed 23 Feb 2017 · Until 17 Feb 2022

• Moore Stephens Financial Services (NI) Limited (no longer appointed)

  FRN 607947 · Appointed 1 Oct 2013 · Until 31 Mar 2019

• Daly Park (no longer appointed)

  FRN 479526 · Appointed 25 Feb 2008 · Until 16 Apr 2013

• The Open Market Annuity Service Ltd (no longer appointed)

  FRN 469018 · Appointed 14 Jun 2007 · Until 21 Mar 2011

• Kerr Henderson (Consultants and Actuaries) Ltd (no longer appointed)

  FRN 188411 · Appointed 1 Dec 1998 · Until 30 Oct 2020

No changes recorded yet.