RDBIFS Ltd

Date authorised
3 July 2017
Companies House
08221678
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    R D B I F S Ltd
    The Stables
    Levens Hall
    Kendal
    Westmorland And Furness
    LA8 0PB
    UNITED KINGDOM
    Phone
    +441539561901

  • Complaints Contact

    1A The Stables
    Levens Hall
    Kendal
    Cumbria
    LA8 0PB
    UNITED KINGDOM
    Phone
    +441539561901

What this firm is allowed to do

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

  • 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 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.

  • Credit Brokering

    Show 1 limitation
    • · The Firm will not allow a client to utilise the funds raised by way of loan to increase the size of his investment portfolio under the firm's management

  • 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.

  • Allan Gregory Brown

    IRN AGB00002

    • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 4 May 2022)
    • [FCA CF] Client dealing (1 Dec 2020 to 4 May 2022)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Jan 2021)
    • SMF3 Executive Director (9 Dec 2019 to 1 Jan 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Jan 2022)
    • CF10 Compliance Oversight (3 Jul 2017 to 8 Dec 2019)
    • CF30 Customer (3 Jul 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (3 Jul 2017 to 30 Sep 2018)
    • CF1 Director (3 Jul 2017 to 8 Dec 2019)
  • Christopher Theo Dunk

    IRN CTD01014

    • Director of firm who is not a certification employee or a SMF manager (6 Apr 2025 to 25 Apr 2026)
    • [FCA CF] Client dealing (1 Dec 2020 to 5 Apr 2025)
    • [FCA CF] Functions requiring qualifications (1 Dec 2020 to 5 Apr 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Mar 2024)
    • SMF3 Executive Director (9 Dec 2019 to 20 May 2025)
    • CF11 Money Laundering Reporting (14 Jul 2017 to 8 Dec 2019)
    • CF1 Director (3 Jul 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jul 2017 to 14 Jul 2017)
    • CF30 Customer (3 Jul 2017 to 8 Dec 2019)
  • Peter Robert Mark Penfold

    IRN PXP17955

    • 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 8 Mar 2024)
    • SMF3 Executive Director (since 28 Mar 2022)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • CF30 Customer (5 Aug 2019 to 8 Dec 2019)
  • Philip Bryan Williams

    IRN PBW01039

    • 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
    • SMF16 Compliance Oversight (since 31 Dec 2020)
    • Responsible for Insurance Distribution (since 31 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (3 Jul 2017 to 8 Dec 2019)
    • CF30 Customer (3 Jul 2017 to 8 Dec 2019)
  • Urszula Halina Nowak

    IRN UXN14425

    • 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)
    • SMF3 Executive Director (since 24 Mar 2022)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Dec 2020)
    • CF30 Customer (30 Apr 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.