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

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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.

• Nicola Shirley Rodgers

  IRN NXR01110

  • 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
  • Responsible for Insurance Distribution (since 22 May 2024)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 7 May 2021)
  • SMF3 Executive Director (since 7 May 2021)
  • SMF16 Compliance Oversight (since 7 May 2021)
  • [FCA CF] Manager of certification employee (since 1 Mar 2021)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 11 Jul 2016)
  • CF21 Investment Adviser (1 Oct 2002 to 31 Oct 2007)
• Nigel James Thompson

  IRN NJT01053

  • CF1 Director (AR) (11 Oct 2013 to 31 Mar 2019)
• Pamela Gail Wilson

  IRN PGG01038

  • CF30 Customer (7 Apr 2014 to 31 Mar 2019)
• Paul Mawhinney

  IRN PXM00271

  • CF1 Director (AR) (25 Sep 2009 to 21 Mar 2011)
• Paul Oakman Chambers

  IRN POC01004

  • CF30 Customer (1 Oct 2013 to 31 Mar 2019)
• Philip James Murray

  IRN PJM01380

  • CF1 Director (AR) (23 Nov 2010 to 5 Jun 2020)
  • CF30 Customer (1 Nov 2007 to 30 Oct 2020)
  • CF21 Investment Adviser (21 Feb 2005 to 31 Oct 2007)
• Philip Neil Audaer

  IRN PXA01145

  • CF30 Customer (1 Nov 2007 to 27 Feb 2009)
  • CF21 Investment Adviser (10 Dec 2003 to 31 Oct 2007)
• Rachael Ingle

  IRN RXI01030

  • CF1 Director (AR) (9 Dec 2003 to 3 Jul 2009)
• Richard Dalzell Moore

  IRN RXM01449

  • CF1 Director (AR) (19 Nov 2003 to 6 Jan 2006)
• Richard Michael Blaney

  IRN RMB00050

  • SMF3 Executive Director (since 23 May 2024)

• 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.