Paul Doffman

Date authorised
1 April 2013
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    3 Dunham Croft
    Dorridge
    Solihull
    West Midlands
    B93 8RZ
    UNITED KINGDOM
    Phone
    +4401564739272

  • Complaints Contact

    3 Dunham Croft
    Dorridge
    Solihull
    West Midlands
    B93 8RZ
    UNITED KINGDOM
    Phone
    +4401564739272

What this firm is allowed to do

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

  • P2P Lending Advice

    For Retail (Non-Investment Insurance)

  • Investment Advice (no pensions)

    For 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, 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 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, 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 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, 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.

  • Paul Doffman

    IRN PXD00019

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 1 Jan 2013)
    • CF10 Compliance Oversight (17 Dec 2004 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (17 Dec 2004 to 8 Dec 2019)
    • CF21 Investment Adviser (17 Dec 2004 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.