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.

• Robert James Williams

  IRN RJW00029

  • CF30 Customer (1 Nov 2007 to 23 May 2011)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Robert Kerr

  IRN RXK00008

  • CF1 Director (AR) (2 Dec 2003 to 10 Jan 2017)
  • CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2002)
  • CF1 Director (1 Dec 2001 to 10 Jan 2017)
• Robert Owen

  IRN RXO01051

  • CF30 Customer (3 Jul 2015 to 30 Oct 2020)
  • CF21 Investment Adviser (1 Jul 2002 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Jul 2002 to 31 Oct 2007)
• Rosemary Janet Purvis

  IRN RJP00044

  • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 19 Feb 2003)
• Samuel David Currie

  IRN SDC01072

  • SMF3 Executive Director (3 Apr 2020 to 7 Sep 2020)
  • [FCA CF] Client dealing (3 Feb 2020 to 9 Oct 2020)
  • [FCA CF] Functions requiring qualifications (3 Feb 2020 to 9 Oct 2020)
• Simon Matthew Martin

  IRN SXM00302

  • CF21 Investment Adviser (1 Oct 2002 to 29 Jun 2007)
• Simon McKenna

  IRN SXM01870

  • CF28 Systems and controls (1 Nov 2007 to 10 Jun 2011)
  • CF1 Director (AR) (24 Feb 2006 to 10 Jun 2011)
  • CF1 Director (29 Apr 2005 to 10 Jun 2011)
  • CF13 Finance (8 Aug 2003 to 31 Oct 2007)
• Stephen James McCallum

  IRN SJM01432

  • [FCA CF] Client dealing (18 Oct 2021 to 30 Apr 2024)
  • [FCA CF] Functions requiring qualifications (18 Oct 2021 to 30 Apr 2024)
  • CF30 Customer (24 Jun 2015 to 18 May 2016)
• Stephen William McCleary

  IRN SWM00004

  • 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
  • SMF3 Executive Director (since 21 Apr 2021)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (5 Sep 2011 to 10 Sep 2020)
  • CF21 Investment Adviser (1 Oct 2002 to 24 Dec 2003)
• Steven Lindsay

  IRN SXL01500

  • CF1 Director (AR) (9 Oct 2013 to 30 Jun 2017)

• 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.