TD Financial Ltd

• Principal Place of Business

  T D Financial Ltd

  James William House

  9 Museum Place

  Cardiff

  CF10 3BD

  UNITED KINGDOM

  Phone

  +442920231857

  Web

  https://www.tdfinancial.co.uk

• Complaints Contact

  T D Financial Ltd

  James William House

  9 Museum Place

  Cardiff

  CF10 3BD

  UNITED KINGDOM

  Phone

  +442920231857

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Professional, Retail (Investment)

• 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

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  • · 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 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

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  • · 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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Debt Advice

  Show 1 limitation Hide limitations

  • · This permission is limited to debt counselling with no debt management activity

• 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), 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.

• Amy Garraway

  IRN AXG00085

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 17 Aug 2022)
• Anthony Clayton Parker Williams

  IRN ACW01104

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 17 May 2021)
• Anthony James Davies

  IRN AJD00087

  • 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)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (12 Sep 2012 to 8 Dec 2019)
• Ashley Burge

  IRN AXB00380

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 22 Nov 2021)
  • [FCA CF] Client dealing (since 22 Nov 2021)
  • [FCA CF] Manager of certification employee (22 Nov 2021 to 23 Nov 2021)
• Damon Milo Sylvester

  IRN DMS01232

  • CF1 Director (AR) (20 Mar 2009 to 2 Jan 2013)
• Gethin Rhys John

  IRN GRJ01043

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 2 May 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 2 May 2023)
  • CF30 Customer (9 Jan 2013 to 8 Dec 2019)
• Glenn Chapman

  IRN GXC00043

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • Appointed representative dealing with clients for which they require qualification (since 2 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 2 Nov 2020)
• Jason Thomas-Duffy

  IRN JMD00073

  • 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
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 21 Mar 2016)
  • CF30 Customer (29 Aug 2012 to 8 Dec 2019)
  • CF10 Compliance Oversight (29 Aug 2012 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (29 Aug 2012 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (22 Oct 2007 to 31 Mar 2009)
  • CF1 Director (22 Oct 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (22 Oct 2007 to 30 Sep 2018)
• Owen Alexander Davis

  IRN OAD01009

  • CF30 Customer (2 Jul 2013 to 26 Mar 2019)
• Rebecca Hall

  IRN RXH00084

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)

• Hawthorn Mortgage & Finance

  FRN 445676 · Appointed 7 Apr 2009

• Harris John Financial Ltd (no longer appointed)

  FRN 568959 · Appointed 14 Jun 2018 · Until 7 Nov 2018

• Peter Leslie Rogers (no longer appointed)

  FRN 450597 · Appointed 17 Sep 2010 · Until 10 Jun 2016

• Vale Mortgages & Finance Limited (no longer appointed)

  FRN 425727 · Appointed 20 Mar 2009 · Until 4 Jan 2013

No changes recorded yet.