Three Counties Limited

• Principal Place of Business

  1 Hedworths

  Bowes Offices

  Lambton Park

  Chester Le Street

  Durham

  DH3 4AN

  UNITED KINGDOM

  Phone

  +4401912303034

  Web

  https://www.three-counties.co.uk

• Complaints Contact

  1 Hedworths

  Bowes Offices

  Lambton Park

  Chester Le Street

  Durham

  DH3 4AN

  UNITED KINGDOM

  Phone

  +441912303034

• 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

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  • · 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 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.

• 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.

• 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.

• Adam Kyle McLachlan

  IRN AXM00354

  • 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 20 Oct 2025)
  • [FCA CF] Client dealing (since 20 Oct 2025)
• Alan James Patterson

  IRN AJP01216

  • SMF3 Executive Director (27 Feb 2020 to 5 Apr 2024)
• Andrew David Alexander

  IRN ADA01059

  • 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 3 Dec 2020)
  • [FCA CF] Client dealing (since 3 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (23 Jul 2018 to 8 Dec 2019)
  • Responsible for Insurance Mediation (23 Jun 2015 to 30 Sep 2018)
  • CF1 Director (13 Aug 2014 to 8 Dec 2019)
  • CF10 Compliance Oversight (8 Apr 2014 to 4 May 2016)
  • CF11 Money Laundering Reporting (8 Apr 2014 to 4 May 2016)
• Anne-Louise Hudson

  IRN AXD01778

  • CF30 Customer (30 Oct 2013 to 19 Nov 2015)
• Colin Meiklem Frame

  IRN CMF01038

  • SMF3 Executive Director (since 28 Mar 2020)
• Corryn Wild

  IRN CXB01838

  • 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)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • [FCA CF] Client dealing (since 3 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 3 Dec 2020)
  • SMF3 Executive Director (since 25 Feb 2020)
  • CF30 Customer (24 Jul 2017 to 8 Dec 2019)
• David Gordon Pearse

  IRN DGP00027

  • CF21 Investment Adviser (13 May 2005 to 6 Apr 2007)
• David Hughes

  IRN DXH00216

  • CF1 Director (17 Sep 2015 to 18 Jan 2017)
  • CF3 Chief Executive (17 Sep 2015 to 18 Jan 2017)
  • CF30 Customer (14 Sep 2015 to 18 Jan 2017)
• David Spencer Heppell

  IRN DSH00012

  • [FCA CF] Client dealing (3 Dec 2020 to 9 Jan 2025)
  • [FCA CF] Functions requiring qualifications (3 Dec 2020 to 9 Jan 2025)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 27 Feb 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 27 Feb 2025)
  • SMF3 Executive Director (9 Dec 2019 to 28 May 2025)
  • CF30 Customer (5 Jan 2017 to 8 Dec 2019)
  • CF1 Director (28 Apr 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (28 Apr 2016 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (28 Apr 2016 to 8 Dec 2019)
• David Stevens

  IRN DXS01453

  • CF1 Director (5 Jul 2007 to 1 Jul 2019)

• Universal Tax & Wealth LLP (no longer appointed)

  FRN 600488 · Appointed 1 Jul 2015 · Until 1 Feb 2017

• Three Counties Mortgage Consultants Ltd (no longer appointed)

  FRN 410459 · Appointed 31 Oct 2004 · Until 30 Jan 2006

No changes recorded yet.