LawlerDavis Independent Financial Planners Limited

• Principal Place of Business

  Upperton House

  The Avenue

  Eastbourne

  East Sussex

  BN21 3YB

  UNITED KINGDOM

  Phone

  +441323746698

  Web

  https://www.lawlerdavis.co.uk

• Complaints Contact

  Upperton House

  The Avenue

  Eastbourne

  East Sussex

  BN21 3YB

  UNITED KINGDOM

  Phone

  +441323746698

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For 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 Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• 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 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.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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

  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.

• 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

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Anna Victoria Barr

  IRN AXB13211

  • 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] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (30 Mar 2019 to 8 Dec 2019)
• Colin Stewart Davis

  IRN CSD01037

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Aug 2022)
  • SMF3 Executive Director (9 Dec 2019 to 3 Nov 2022)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 3 Nov 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 3 Nov 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Aug 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Aug 2022)
  • CF10 Compliance Oversight (1 Apr 2014 to 8 Dec 2019)
  • CF1 Director (1 Apr 2014 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Apr 2014 to 8 Dec 2019)
  • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
• Leslie William Marriott

  IRN LWM00001

  • 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 9 Dec 2019)
  • CF30 Customer (20 Jul 2015 to 8 Dec 2019)
• Michael Gardiner

  IRN MXG00140

  • CF30 Customer (29 Dec 2014 to 25 Feb 2015)
• Oliver George Brett

  IRN OXB00139

  • 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 7 Sep 2023)
  • [FCA CF] Functions requiring qualifications (since 7 Sep 2023)
• Sarah Denise Lawler

  IRN SDL01049

  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Jan 2023)
  • SMF16 Compliance Oversight (since 9 Jan 2023)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsible for Insurance Mediation (1 Apr 2014 to 30 Sep 2018)
  • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
  • CF1 Director (1 Apr 2014 to 8 Dec 2019)

No changes recorded yet.