T L DALLAS INDEPENDENT FINANCIAL SERVICES LIMITED

Date authorised
2 January 2014
Companies House
02846397
Last scraped
2 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    Dallas House
    146 Cleckheaton Road
    Low Moor
    Bradford
    West Yorkshire
    BD12 0HF
    UNITED KINGDOM
    Phone
    +4401274465597
    Web
    https://tldallasifs.co.uk

  • Complaints Contact

    TL Dallas, Dallas House
    146 Cleckheaton Road
    Low Moor
    Bradford
    West Yorkshire
    BD12 0HF
    UNITED KINGDOM
    Phone
    +4401274465597

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

  • 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: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
    • · 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

  • Debt Advice

    Show 1 limitation
    • · This permission is limited to debt counselling with no debt management 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.

  • Alastair John Foster

    IRN AJF00007

    • CF30 Customer (2 Jan 2014 to 19 Feb 2018)
  • Gary Martin Nixon

    IRN GMN00008

    • [FCA CF] Functions requiring qualifications (18 Nov 2020 to 31 Aug 2025)
    • [FCA CF] Manager of certification employee (18 Nov 2020 to 31 Aug 2025)
    • [FCA CF] Client dealing (18 Nov 2020 to 31 Aug 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 20 Sep 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Sep 2024)
    • SMF3 Executive Director (9 Dec 2019 to 20 Sep 2024)
    • Responsible for Insurance Distribution (1 Oct 2018 to 20 Sep 2024)
    • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Jan 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Jan 2014 to 8 Dec 2019)
    • CF1 Director (2 Jan 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2014 to 30 Sep 2018)
  • Jane Elizabeth Maclauchlan

    IRN JES01159

    • 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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 20 May 2024)
    • SMF3 Executive Director (since 20 May 2024)
    • Responsible for Insurance Distribution (since 20 May 2024)
    • SMF16 Compliance Oversight (since 20 May 2024)
    • [FCA CF] Client dealing (since 18 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 18 Nov 2020)
    • CF30 Customer (2 Jan 2014 to 8 Dec 2019)
  • Myles Cary Locke

    IRN MXL00460

    • [FCA CF] Client dealing (11 Mar 2024 to 9 Aug 2024)
    • [FCA CF] Functions requiring qualifications (11 Mar 2024 to 9 Aug 2024)
  • Polly Eleanor Olivia Staveley

    IRN PES01093

    • SMF3 Executive Director (since 10 Dec 2024)
  • Samuel Sharpley

    IRN SXS05368

    • 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
    • [FCA CF] Functions requiring qualifications (since 27 Aug 2024)
    • [FCA CF] Client dealing (since 27 Aug 2024)

Recent activity

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

No changes recorded yet.