Orr Kerr Dykes Financial Services Limited

Date authorised
1 April 2013
Companies House
SC215908
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    7 Royal Crescent
    Glasgow
    G3 7SL
    UNITED KINGDOM
    Phone
    +441413759333
    Web
    https://www.okdfs.co.uk

  • Complaints Contact

    7 Royal Crescent
    Glasgow
    Glasgow
    G3 7SL
    UNITED KINGDOM
    Phone
    +441413759333

What this firm is allowed to do

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

  • 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 2 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 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

    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.

  • Authorised to Operate

    Show 1 limitation
    • · 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
    • · 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
    • · 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.

Approved individuals

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

  • David Murray Kerr

    IRN DMK00014

    • CF1 Director (1 Dec 2001 to 23 Sep 2008)
  • Edward Kelly

    IRN EXK01133

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • SMF3 Executive Director (since 15 Jan 2021)
    • SMF16 Compliance Oversight (since 15 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Sep 2020)
  • Elaine Lesley Hunter

    IRN ELH00002

    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Functions requiring qualifications (since 6 Apr 2020)
    • SMF3 Executive Director (9 Dec 2019 to 3 Feb 2021)
    • Responsible for Insurance Distribution (1 Oct 2018 to 3 Feb 2021)
    • Responsible for Insurance Mediation (15 May 2014 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (22 May 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • Malcolm Dawson McPherson

    IRN MDM00034

    • CF30 Customer (1 Nov 2007 to 31 Mar 2014)
    • Responsible for Insurance Mediation (14 Jan 2005 to 31 Mar 2014)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF1 Director (1 Dec 2001 to 31 Mar 2014)
    • CF10 Compliance Oversight (1 Dec 2001 to 31 Mar 2014)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 31 Mar 2014)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • Russell Provan

    IRN RXP01510

    • SMF3 Executive Director (21 Dec 2020 to 6 Feb 2025)
    • Responsible for Insurance Distribution (21 Dec 2020 to 6 Feb 2025)
    • [FCA CF] Functions requiring qualifications (1 Sep 2020 to 3 Mar 2025)
  • Stephen Wright

    IRN SXW01665

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Jan 2021)
    • SMF3 Executive Director (since 14 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Sep 2020)
  • Steven Hugh Donnelly

    IRN SHD01038

    • SMF16 Compliance Oversight (9 Dec 2019 to 4 Sep 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 4 Sep 2020)
    • SMF3 Executive Director (9 Dec 2019 to 4 Sep 2020)
    • CF10 Compliance Oversight (22 Apr 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Apr 2014 to 8 Dec 2019)
    • CF1 Director (26 Apr 2011 to 8 Dec 2019)
    • CF30 Customer (1 Jul 2010 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.