RICHARD KEEN (INSURANCE BROKERS) LIMITED

• Principal Place of Business

  Keen Insurance

  46-48 The Parade

  Neath

  Neath Port Talbot

  SA11 1RN

  UNITED KINGDOM

  Phone

  +4401639646464

  Web

  https://www.keeninsurance.co.uk

• Complaints Contact

  Keen Insurance

  46-48 The Parade

  Neath

  Neath Port Talbot

  SA11 1RN

  UNITED KINGDOM

  Phone

  +4401639646464

• P2P Lending Advice

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

• 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.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Insurance Admin

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Credit Brokering

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

• Mortgage Setup

  For Customer, Regulated mortgage contract

• 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

  • · 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.

• Martin Philip Jones

  IRN MPJ00016

  • [FCA CF] Functions requiring qualifications (1 Jan 2020 to 30 Nov 2022)
  • [FCA CF] Client dealing (1 Jan 2020 to 30 Nov 2022)
  • [FCA CF] Significant management (1 Jan 2020 to 30 Nov 2022)
  • SMF3 Executive Director (9 Dec 2019 to 30 Nov 2022)
  • CF1 Director (1 Nov 2011 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 25 Oct 2005)
  • CF10 Compliance Oversight (1 Dec 2001 to 25 Oct 2005)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 25 Oct 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 25 Oct 2005)
• Neil Graham Rees

  IRN NGR01007

  • CF21 Investment Adviser (5 Dec 2005 to 28 Feb 2007)
• Paul Kenneth Attwell

  IRN PKA01014

  • CF30 Customer (6 Nov 2008 to 21 Nov 2008)
• Richard Streeter

  IRN RXS01599

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 1 Jan 2020)
  • [FCA CF] Client dealing (since 1 Jan 2020)
• Robin Andrew Burden

  IRN RAB01290

  • CF30 Customer (1 Nov 2007 to 8 Oct 2008)
  • CF21 Investment Adviser (11 Jun 2007 to 31 Oct 2007)

• Commercial & Business Financial Ltd (no longer appointed)

  FRN 468759 · Appointed 7 Jun 2007 · Until 11 Oct 2011

No changes recorded yet.