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

  Show 2 limitations Hide limitations

  • · 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.

• Mark James West

  IRN MJW01425

  • CF11 Money Laundering Reporting (31 Jan 2013 to 15 Jul 2013)
  • CF10 Compliance Oversight (31 Jan 2013 to 14 Mar 2013)
  • CF1 Director (15 Jul 2009 to 15 Jul 2013)
  • CF29 Significant management (15 Jul 2009 to 10 Mar 2011)
  • CF30 Customer (18 Jun 2008 to 31 Dec 2012)
  • CF1 Director (AR) (10 Nov 2004 to 30 Jan 2006)
• Martin Howe

  IRN MXH00110

  • [FCA CF] Client dealing (3 Dec 2020 to 1 Jun 2022)
  • [FCA CF] Functions requiring qualifications (3 Dec 2020 to 1 Jun 2022)
  • SMF3 Executive Director (25 Feb 2020 to 26 Apr 2022)
  • CF30 Customer (1 Jul 2015 to 8 Dec 2019)
• Michael John Glidden Henderson

  IRN MJH00116

  • CF2 Non Executive Director (1 Dec 2001 to 19 Jun 2009)
• Michelle Marie Harvey

  IRN MMC01084

  • CF30 Customer (30 Sep 2015 to 1 Feb 2017)
• Neil Stuart Robertson

  IRN NSR01039

  • 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 6 Dec 2023)
  • [FCA CF] Client dealing (since 6 Dec 2023)
• Nicholas Philip Cranston

  IRN NXC00267

  • [FCA CF] Functions requiring qualifications (13 Jun 2022 to 26 Apr 2024)
  • [FCA CF] Client dealing (13 Jun 2022 to 26 Apr 2024)
• Nicola Wrightson

  IRN NXW01288

  • Responsible for Insurance Mediation (20 Feb 2013 to 5 Jun 2015)
  • CF30 Customer (2 Jan 2013 to 5 Jun 2015)
  • CF1 Director (1 Jan 2013 to 5 Jun 2015)
• Patrick Martin Hennessy

  IRN PMH00007

  • CF22 Investment Adviser (Trainee) (2 Jul 2004 to 2 Jun 2006)
• Paul McAtominey

  IRN PXM00065

  • CF30 Customer (4 Sep 2015 to 17 Feb 2017)
• Peter Anthony Braisby

  IRN PAB01328

  • CF30 Customer (1 Nov 2007 to 26 May 2010)
  • CF21 Investment Adviser (25 Oct 2007 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (7 Jun 2007 to 31 Oct 2007)

• 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.