Walker, Dunnett & Co

Date authorised
1 December 2001
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

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

  • 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

    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, 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

  • Authorised to Operate

  • 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

  • Insurance Admin

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Credit Brokering

  • Debt Negotiation

    Show 1 limitation
    • · This permission is limited to debt adjusting with no debt management activity

  • Debt Advice

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

  • 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

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Allison Margaret Hunter

    IRN AMM00056

    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (6 Jun 2018 to 8 Dec 2019)
  • Andrew Walker

    IRN AXW01326

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Nov 2007 to 28 Oct 2009)
    • Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF4 Partner (1 Dec 2001 to 8 Dec 2019)
  • Antony Michael Rudol

    IRN AMR00018

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (24 Jan 2007 to 31 Oct 2007)
  • Danie Perold van Niekerk

    IRN DPV01018

    • SMF27 Partner (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF4 Partner (15 May 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (15 May 2015 to 8 Dec 2019)
  • Ian Andrew Barr

    IRN IAB01035

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2024)
    • CF30 Customer (2 Aug 2010 to 8 Dec 2019)
  • Lee Thomas Martin

    IRN LXM00434

    • 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 4 May 2022)
    • [FCA CF] Client dealing (since 4 May 2022)
  • Mark Hunter

    IRN MXH00151

    • 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] Client dealing (since 8 Jul 2024)
    • [FCA CF] Functions requiring qualifications (since 8 Jul 2024)
  • Richard Walker

    IRN RXW01270

    • CF30 Customer (1 Nov 2007 to 28 Mar 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF4 Partner (1 Dec 2001 to 31 Oct 2002)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
  • Roger Dunnett

    IRN RXD01221

    • CF11 Money Laundering Reporting (1 Dec 2001 to 15 May 2015)
    • CF4 Partner (1 Dec 2001 to 15 May 2015)
  • Tom Coull

    IRN TXC01139

    • CF30 Customer (1 Nov 2007 to 30 Jul 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.