W.DENIS FINANCIAL SERVICES LIMITED

• Principal Place of Business

  W Denis Financial Services Ltd

  8 St Paul's Street

  Leeds

  LS1 2LE

  UNITED KINGDOM

  Phone

  +4401132443666

  Web

  https://www.wdenisfinancialservices.com

• Complaints Contact

  W Denis Financial Services Ltd

  8 St Paul's Street

  Leeds

  LS1 2LE

  UNITED KINGDOM

  Phone

  +4401132443666

• 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

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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.

• 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.

• Insurance Admin

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

• Stockbroking

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

• 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.

• Danielle Marie Holdsworth

  IRN DMH01211

  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF1 Director (11 Mar 2014 to 8 Dec 2019)
• David Garth Siddall

  IRN DGS00001

  • CF1 Director (1 Dec 2001 to 4 Apr 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 29 Oct 2004)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 21 Mar 2005)
  • CF21 Investment Adviser (1 Dec 2001 to 21 Mar 2005)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 29 Oct 2004)
  • CF10 Compliance Oversight (1 Dec 2001 to 29 Oct 2004)
• Hubert Allan Thew

  IRN HAT01014

  • CF1 Director (1 Dec 2001 to 4 Dec 2012)
• Ian William Desbottes

  IRN IWD01009

  • CF1 Director (11 Sep 2007 to 16 Feb 2014)
• Joanne Dawn Holliday

  IRN JDH01172

  • CF30 Customer (17 Dec 2013 to 19 Jan 2018)
• John Warwick Busfield

  IRN WXB00029

  • CF30 Customer (1 Nov 2007 to 21 Aug 2010)
  • CF21 Investment Adviser (31 Jan 2006 to 31 Oct 2007)
• John Young

  IRN JXY01149

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 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
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 5 Jul 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (16 Jan 2017 to 8 Dec 2019)
• Jonathan Mark Short

  IRN JMS00018

  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • 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)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (21 Feb 2006 to 8 Dec 2019)
  • Responsible for Insurance Mediation (17 Nov 2005 to 30 Sep 2018)
  • CF10 Compliance Oversight (17 Nov 2005 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (17 Nov 2005 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (17 Nov 2005 to 31 Mar 2009)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• Kate Louise Wilson

  IRN KXS00438

  • 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
  • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
  • [FCA CF] Client dealing (since 19 Oct 2023)
  • [FCA CF] Functions requiring qualifications (since 25 May 2022)
• Lawrence Gedge

  IRN LXG01538

  • [FCA CF] Client dealing (9 Dec 2019 to 19 Oct 2023)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 19 Oct 2023)
  • CF30 Customer (23 Feb 2018 to 8 Dec 2019)

No changes recorded yet.