TTR BARNES FINANCIAL SERVICES LIMITED

• Principal Place of Business

  3-5 Grange Terrace

  Stockton Road

  Sunderland

  Tyne and Wear

  SR2 7DG

  UNITED KINGDOM

  Phone

  +4401915661984

  Web

  https://www.key-wealth.com

• Complaints Contact

  3-5 Grange Terrace

  Stockton Road

  Sunderland

  Tyne and Wear

  SR2 7DG

  UNITED KINGDOM

  Phone

  +4401915661984

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• 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, Eligible Counterparty, 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

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  • · 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, Eligible Counterparty, 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

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Eligible Counterparty, 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.

• Allan Russell

  IRN AXR01361

  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 20 Dec 2012)
  • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (1 Dec 2001 to 27 Jan 2006)
  • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 29 Mar 2006)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 27 Jan 2006)
• Christina Smith

  IRN CXE00050

  • [FCA CF] Client dealing (6 Apr 2023 to 13 Nov 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Nov 2025)
• Christopher Darren Blakey

  IRN CDB01177

  • 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 2020)
  • [FCA CF] Client dealing (since 9 Dec 2020)
• David Chapman Barnes

  IRN DCB01086

  • CF21 Investment Adviser (1 Dec 2001 to 7 Mar 2003)
  • CF23 Corporate Finance Adviser (1 Dec 2001 to 7 Mar 2003)
• David James Cook

  IRN DJC01429

  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (24 Sep 2013 to 8 Dec 2019)
  • CF1 Director (13 Sep 2010 to 8 Dec 2019)
• David Richard Emery

  IRN DXE00194

  • [FCA CF] Functions requiring qualifications (2 Oct 2023 to 30 Jun 2025)
• Dean Michael Smith

  IRN DMS00034

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Responsibility for MCD Intermediation (since 31 May 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (29 Oct 2015 to 8 Dec 2019)
  • CF10 Compliance Oversight (26 Jun 2015 to 8 Dec 2019)
  • CF30 Customer (1 Oct 2014 to 8 Dec 2019)
• Elizabeth Christine Loome

  IRN ECL01014

  • CF30 Customer (1 Nov 2007 to 31 Dec 2007)
  • CF21 Investment Adviser (9 Aug 2002 to 31 Oct 2007)
• Ernest Brian Thurlbeck

  IRN EBT01007

  • CF1 Director (29 Aug 2002 to 31 Oct 2004)
• George Robert Farnan

  IRN GRF00002

  • CF30 Customer (1 Nov 2007 to 31 Dec 2014)
  • CF24 Pension Transfer Specialist (10 Jan 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (18 Oct 2004 to 31 Oct 2007)

No changes recorded yet.