STEPHEN WALTERS (FINANCIAL PLANNING) LIMITED

Date authorised
1 April 2013
Companies House
SC360356
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Dexterity
    14-18 Hill Street
    Edinburgh
    Edinburgh, City Of
    EH2 3JZ
    UNITED KINGDOM
    Phone
    +441316050407
    Web
    https://www.dexterityifa.com

  • Complaints Contact

    Dexterity
    14-18 Hill Street
    Edinburgh
    Edinburgh, City Of
    EH2 3JZ
    UNITED KINGDOM
    Phone
    +447500019490

What this firm is allowed to do

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

  • P2P Lending Advice

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

  • Investment Advice (no pensions)

    For Commercial, 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, 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, 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, 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, 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, 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.

  • Chung-Yeung Shek

    IRN CXS01603

    • CF30 Customer (1 Oct 2009 to 13 Oct 2014)
  • Philip James Corrie-Hawes

    IRN PJH01317

    • Director of firm who is not a certification employee or a SMF manager (since 3 Nov 2020)
    • CF30 Customer (8 Feb 2016 to 2 Jun 2016)
  • Stephen Mark Verrall Walters

    IRN SMW00001

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF3 Chief Executive (1 Oct 2009 to 8 Dec 2019)
    • CF1 Director (1 Oct 2009 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Oct 2009 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Oct 2009 to 8 Dec 2019)
    • CF30 Customer (1 Oct 2009 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Oct 2009 to 30 Sep 2018)

Recent activity

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

No changes recorded yet.